Purchasers. NAME AND ADDRESS --------------------------------- Asset Managers International Lmtd c/o Vision Capital Advisors Attn: Jordan Fraser 954 3rd Avenue, Suite 402 New York, NY 10022 London, Exxxxxx Xxx: 010-000-0000 Xxx: 000-000-0000 Xxxxxx@xxxxxxx.com --------------------------------- Gix Xxxxxx 0000 Xxxxx Xxxxxx Xxxxon Grove, IL 60053 Tel: 312-474-4370 Xxxxxxx 000-000-6129 Evening Fax: 312-356-7020 axxxxx@xxxxxxring.com --------------------------------- Xxxxxxxxx Xaxxxxxx, XXX x/x X. Xxuglas Ralston 701 Harger Road, Suite 190 Oak Brook, IL 60523 Tel: 000-000-0000 Xxx: 000-000-0000 jralston@cone.com --------------------------------- Joex Xxxxxxxx 080 Xxxxxx Xx. Xxxxcoe, IL 60022 Tel: 847-835-5588 Fax: X/X xxxxxxxsxxxx@xxx.xxx --------------------------------- Xxxstview Capxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0000 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxxxxxxw Xxxxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0060 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxa Xxxxxxxx 000 Xxxxxxxxxx Lane Highland Park, IL 60035 Tel: 847-400-0000 Xxx: 800-000-0000 Xxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxxxx & Xxxxxxxx Xxxxx x/x Xxxxart Flink 170 Crestview Deerfield, XX 00005 Txx: 000-000-0085 Fax: 000-000-0070 xxxxxxx@xxxxxxxxx.xxx --------------------------------- Xxxxx X. Xxoxxx 000 Xxxxxxx Xxxx Lake Forest, IL 60045 Tel: 847-615-0000 Xxx: 000-010-0000 xxxxxxx000@xxx.xxx --------------------------------- GLX Xxxxxx Xxxaxxxx, X.X. x/x X. Stephen Gilboy GLL Investors Inc. 425 West Surf Street Chicago, IL 60000 Xxx: 000-525-3038 Fax: 773-520-0000 xxxxxxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxex X. Xxxxxxx 00 Xxxxxx Xxxxx, Suite A Northbrook, IL 60062 Tel: 000-000-0000 Xxx: 000-000-0000 steven@crestviewcap.com --------------------------------- Xxxxx Xxxixxx, XXX x/x Xxxxxxx Xxvy 95 Revere Drive, Suite A Northbrook, IL 60062 Tel: 847-000-0000 Xxx: 000-000-0000 Richard@crestviewcap.com --------------------------------- Xxxxxxx P. Xxxxxxx x/x Xxxxxxx Xxair & Co. 222 W. Adams Street Chicaxx, XX 00000 Xxx: 213-300-0000 Xxx: 312-368-0000 xxxxxxxx@williamblair.com --------------------------------- Lachman Family Limited Partnership Attn: Mary Lachman 3140 Whisperwoxxx Xxxrt Northbrook, IL 60062 Tel: 847-500-0000 Xxx: 000-000-0000 xxxx@xxxxxxx.xxx --------------------------------- Josexx Xxxx Xx. Dxxxxxxxxxx xx Xxust, UAD May 1, 1986 3340 W. Main Sxxxxx Xxxxxe, Il 60076 Tel: 847-933-1197 Fax: 847-933-0000 --------------------------------- Nanxx Xxxx Xxxxcable Xxxxx 00 X. Howe Street Chicago, IL 60614 --------------------------------- Xxxx Xxxxxxx as custodian for Nathan A. Low Roth IRA c/o Sunrise Securitixx Xxxx. Attn: Nathan Low 00xx Xxxor 640 Xxxxxxton Avenue New York, N.Y. 10022 Tel: 000-021-1616 Fax: 212-000-0000 Xxxxxx@xxxxxxxxxxx.xxx --------------------------------- Xxxxx Xxxxd Xxxxxx Xxxx XXX x/x Xorth Sound Capital LLC Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- North Sound Legacy Institutional Fund LLC c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- Xxxxx Sound Xxxxxx Xxxxxxxxional Ltd c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- XXX Xaster Fxxx Xxx x/x Xxxk Hill Investment Management, L.P 3 Bala Plaza East, Suite 585 Bala Cynwyd, PA 19004 Tel: 610-949-9700 Xxx: 000-000-0000 xxxxxxxx@xxxxxxxxxxxxx.xxx --------------------------------- Xxxxxx X. Xxxxxxx 000 Xxxxx Xxxx Winnetka, Il 60093 Tel: 847-920-1360 Xxx: 000-000-0080 xxxxxxxx@xxxxxxx.xxx EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the OTC Bulletin Board or any exchange upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re: National Coal Corp. Dear [______]: We are counsel to National Coal Corp., a Florida corporation (the "Company"), and have represented the Company in connection with that certain Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of August 31, 2004 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series A Cumulative Convertible Preferred Stock, par value $0.0001 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value $0.0001 per share (the "Common Stock") and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants and certain other shares of Common Stock, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Investor Rights Agreement, on ____________ ___, 2004, the Company filed a Registration Statement on Form SB-2 (File No. 333______________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES OF HOLDERS]
Appears in 1 contract
Purchasers. NAME AND ADDRESS --------------------------------- Asset Managers International Lmtd c/o Vision Capital Advisors Attn: Jordan Fraser 954 3rd AvenueXXXXXX XXXXXXXXX CAPITAL PARTNERS, Suite 402 New YorkINC., NY 10022 London, Exxxxxx Xxx: 010-000-0000 Xxx: 000-000-0000 Xxxxxx@xxxxxxx.com --------------------------------- Gix Xxxxxx 0000 Xxxxx Xxxxxx Xxxxon Grove, IL 60053 Tel: 312-474-4370 Xxxxxxx 000-000-6129 Evening Fax: 312-356-7020 axxxxx@xxxxxxring.com --------------------------------- Xxxxxxxxx Xaxxxxxx, XXX x/x X. Xxuglas Ralston 701 Harger Road, Suite 190 Oak Brook, IL 60523 Tel: 000-000-0000 Xxx: 000-000-0000 jralston@cone.com --------------------------------- Joex Xxxxxxxx 080 Xxxxxx Xx. Xxxxcoe, IL 60022 Tel: 847-835-5588 Fax: X/X xxxxxxxsxxxx@xxx.xxx --------------------------------- Xxxstview Capxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0000 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxxxxxxw Xxxxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0060 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxa Xxxxxxxx 000 Xxxxxxxxxx Lane Highland Park, IL 60035 Tel: 847-400-0000 Xxx: 800-000-0000 Xxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxxxx & Xxxxxxxx Xxxxx x/x Xxxxart Flink 170 Crestview Deerfield, XX 00005 Txx: 000-000-0085 Fax: 000-000-0070 xxxxxxx@xxxxxxxxx.xxx --------------------------------- Xxxxx X. Xxoxxx 000 Xxxxxxx Xxxx Lake Forest, IL 60045 Tel: 847-615-0000 Xxx: 000-010-0000 xxxxxxx000@xxx.xxx --------------------------------- GLX Xxxxxx Xxxaxxxx, X.X. x/x X. Stephen Gilboy GLL Investors Inc. 425 West Surf Street Chicago, IL 60000 Xxx: 000-525-3038 Fax: 773-520-0000 xxxxxxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxex X. Xxxxxxx 00 Xxxxxx Xxxxx, Suite A Northbrook, IL 60062 Tel: 000-000-0000 Xxx: 000-000-0000 steven@crestviewcap.com --------------------------------- Xxxxx Xxxixxx, XXX x/x Xxxxxxx Xxvy 95 Revere Drive, Suite A Northbrook, IL 60062 Tel: 847-000-0000 Xxx: 000-000-0000 Richard@crestviewcap.com --------------------------------- Xxxxxxx P. Xxxxxxx x/x Xxxxxxx Xxair & Co. 222 W. Adams Street Chicaxx, XX 00000 Xxx: 213-300-0000 Xxx: 312-368-0000 xxxxxxxx@williamblair.com --------------------------------- Lachman Family Limited Partnership Attn: Mary Lachman 3140 Whisperwoxxx Xxxrt Northbrook, IL 60062 Tel: 847-500-0000 Xxx: 000-000-0000 xxxx@xxxxxxx.xxx --------------------------------- Josexx Xxxx Xx. Dxxxxxxxxxx xx Xxust, UAD May 1, 1986 3340 W. Main Sxxxxx Xxxxxe, Il 60076 Tel: 847-933-1197 Fax: 847-933-0000 --------------------------------- Nanxx Xxxx Xxxxcable Xxxxx 00 X. Howe Street Chicago, IL 60614 --------------------------------- Xxxx Xxxxxxx as custodian for Nathan A. Low Roth IRA c/o Sunrise Securitixx Xxxx. Attn: Nathan Low 00xx Xxxor 640 Xxxxxxton Avenue New York, N.Y. 10022 Tel: 000-021-1616 Fax: 212-000-0000 Xxxxxx@xxxxxxxxxxx.xxx --------------------------------- Xxxxx Xxxxd Xxxxxx Xxxx XXX x/x Xorth Sound Capital LLC Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- North Sound Legacy Institutional Fund LLC c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- Xxxxx Sound Xxxxxx Xxxxxxxxional Ltd c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- XXX Xaster Fxxx Xxx x/x Xxxk Hill Investment Management, L.P 3 Bala Plaza East, Suite 585 Bala Cynwyd, PA 19004 Tel: 610-949-9700 Xxx: 000-000-0000 xxxxxxxx@xxxxxxxxxxxxx.xxx --------------------------------- Xxxxxx X. Xxxxxxx 000 Xxxxx Xxxx Winnetka, Il 60093 Tel: 847-920-1360 Xxx: 000-000-0080 xxxxxxxx@xxxxxxx.xxx EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on a California corporation On behalf of the selling security holders. Sales of shares may be made by selling security holdersXXXXXX XXXXXXXXX CAPITAL PARTNERS III, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the OTC Bulletin Board or any exchange upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re: National Coal Corp. Dear [______]: We are counsel to National Coal Corp.L.P., a Florida corporation California limited partnership By: ---------------------------------- Xxxxxx Xxxxxxx Vice President (the "Company"), and have represented the Company in connection with that certain Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of August 31, 2004 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant Signature Page to which the Company issued to the Holders its Series A Cumulative Convertible Preferred Stock, par value $0.0001 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value $0.0001 per share (the "Common Stock") and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant ORE HILL HUB FUND LTD By: Ore Hill Partners LLC Its: Investment Advisor By: ---------------------------------- Xxxxxxxxx Xxxx Managing Member (Signature Page to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants and certain other shares of Common Stock, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Investor Rights Agreement) AIRLIE OPPORTUNITY MASTER FUND, on ____________ ___LTD. By: ---------------------------------- Xxxxxx Xxxxxxx Managing Director (Signature Page to Investor Rights Agreement) QVT FUND LP, 2004by its general partner, the Company filed a Registration Statement on Form SB-2 QVT ASSOCIATES GP LLC By: ---------------------------------- Xxxxx XxXxxx Authorized Signatory By: ---------------------------------- Xxxxx Xx Managing Member (File NoSignature Page to Investor Rights Agreement) COMPANY: ------- FALCON PRODUCTS, INC. 333______________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities which names each By: ----------------------------------- Chairman of the Holders as a selling securityholder thereunder. In connection with the foregoingBoard and Chief Executive Officer (Signature Page to Investor Rights Agreement) XXXXXX STOCKHOLDERS: ------------------- --------------------------- XXXXXXXX X. XXXXXX --------------------------- XXXXXXX XXXX XXXXXX ---------------------------------------- XXXXXXXX X. XXXXXX, we advise you that a member TRUSTEE OF THE XXXXX XXXXX XXXXXX REVOCABLE TRUST U/T/A DATED 09/09/1986 ------------------------------------- XXXXXXXX X. XXXXXX, TRUSTEE OF THE XXXXXXX XXXXXX XXXXXX REVOCABLE TRUST U/T/A DATED 12/02/1988 --------------------------- XXXXXXX XXXXXX XXXXXX (Signature Page to Investor Rights Agreement) EXHIBIT A ------- - Table of Owned Shares --------------------- -------------------------------------------------------------------------------------------------- XXXXXX STOCKHOLDER NUMBER OF SHARES OF COMMON STOCK -------------------------------------------------------------------------------------------------- Xxxxxxxx X. Xxxxxx 1,887,384 shares options for 120,000 shares -------------------------------------------------------------------------------------------------- Xxxxxxx Xxxx Xxxxxx 3,500 shares -------------------------------------------------------------------------------------------------- Xxxxxxxx X. Xxxxxx, Trustee of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledgeXxxxx 55,006 shares Xxxxx Xxxxxx Revocable Trust u/t/a dated 09/09/1986 -------------------------------------------------------------------------------------------------- Xxxxxxxx X. Xxxxxx, after telephonic inquiry of a member Trustee of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, Xxxxxxx 12,317 shares Xxxxxx Xxxxxx Revocable Trust u/t/a dated 12/02/1988 -------------------------------------------------------------------------------------------------- Xxxxxxx Xxxxxx Xxxxxx 117,833 shares -------------------------------------------------------------------------------------------------- EXHIBIT B ------- - FORM OF ------- SPOUSAL CONSENT --------------- The undersigned is the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:spouse of __________________________________ cc: , one of the individuals who has executed, delivered and agreed to be bound by the above Investor Rights Agreement. The undersigned hereby acknowledges that he or she has read and understands the terms and other provisions of the Investor Rights Agreement. Further, the undersigned hereby consents to, approves of and agrees to be bound by the terms and other provisions of the Investor Rights Agreement for all purposes as if he or she were a party thereto, including, without limitation, in order to bind any community property interest she has or may have in any Co-Sale Shares owned by him or her and his or her spouse that is the subject of the Investor Rights Agreement. --------------------------------------- [LIST NAMES OF HOLDERSName]
Appears in 1 contract
Samples: Investor Rights Agreement (Falcon Products Inc /De/)
Purchasers. NAME AND ADDRESS --------------------------------- Asset Managers International Lmtd Name and Address Copy of Notice to: ---------------- ----------------- -------------------------------------------------------------------------------------------------------- XXXXX XXXX XX XXXXXX XXXXX XXXX XX XXXXXX c/o Vision Capital Advisors Attn: Jordan Fraser 954 3rd AvenueRBC Dominion Securities Corporation c/o RBC Dominion Securities Corporation Xxx Xxxxxxx Xxxxx Xxx Xxxxxxx Xxxxx 000 Xxxxxxxx, Suite 402 New York0xx Xxxxx 000 Xxxxxxxx, NY 10022 London0xx Xxxxx Xxx Xxxx, Exxxxxx Xxx: 010-000XX 00000-0000 XxxXxx Xxxx, XX 00000-0000 Fax: 000-000-0000 Xxxxxx@xxxxxxx.com --------------------------------- Gix Xxxxxx 0000 Xxxxx Xxxxxx Xxxxon Grove, IL 60053 TelFax: 312-474-4370 Xxxxxxx 000-000-6129 Evening 0000 Attn: Xxxxx Xxx Attn: Xxx Xxxxxxxx -------------------------------------------------------------------------------------------------------- THE TAIL WIND FUND LTD. c/o Tail Wind Advisory & Management Ltd. Xxxxx X. Xxxxxxx, P.C. Attn: Xxxxx Xxxxx 000 Xxxxxxx Xxxxxx, Xxxxx 0000 1st Floor, No. 0 Xxxxxx Xxxxxx Xxx Xxxx, XX 00000 Xxxxxx, XX0X 0XX XX Telephone: 000-000-0000 Fax: 31200-356000-7020 axxxxx@xxxxxxring.com --------------------------------- 000-0000 Facsimile: 000-000-0000 -------------------------------------------------------------------------------------------------------- SOLOMON STRATEGIC HOLDINGS, INC. c/o Xxxxxx X. XxxXxxxxx (Director) Xxxxx X. Xxxxxxx, P.C. Greenlands, The Red Gap 000 Xxxxxxx Xxxxxx, Xxxxx 0000 Xxxxxxxxxx XX0 0XX Xxx Xxxx, XX 00000 British Isles Telephone: 000-000-0000 Fax: 000 (00) 0000 000000 Facsimile: 000-000-0000 -------------------------------------------------------------------------------------------------------- MIDSUMMER INVESTMENT, LTD. Xxx Xxxxxxx, Esq. c/o Midsummer Capital, LLC Xxxxxxx Xxxxxxxxx XaxxxxxxLLP 000 Xxxxxxx Xxxxxx, XXX x/x X. Xxuglas Ralston 701 Harger Road00xx Floor 000 Xxxxxxxxx Xxxxxx, Suite 190 Oak BrookXxx 0000 Xxx Xxxx, IL 60523 XX 00000 Xxx Xxxx, XX 00000 Tel: 000-000-0000 Xxx: 000-000-0000 jralston@cone.com --------------------------------- Joex Xxxxxxxx 080 Xxxxxx Xx. Xxxxcoe, IL 60022 Tel: 847-835-5588 Fax: X/X xxxxxxxsxxxx@xxx.xxx --------------------------------- Xxxstview Capxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0000 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxxxxxxw Xxxxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0060 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxa Xxxxxxxx 000 Xxxxxxxxxx Lane Highland Park, IL 60035 Tel: 847-400-0000 Xxx: 800-000-0000 Xxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxxxx & Xxxxxxxx Xxxxx x/x Xxxxart Flink 170 Crestview Deerfield, XX 00005 Txx: 000-000-0085 Fax: 000-000-0070 xxxxxxx@xxxxxxxxx.xxx --------------------------------- Xxxxx X. Xxoxxx 000 Xxxxxxx Xxxx Lake Forest, IL 60045 Tel: 847-615-0000 Xxx: 000-010-0000 xxxxxxx000@xxx.xxx --------------------------------- GLX Xxxxxx Xxxaxxxx, X.X. x/x X. Stephen Gilboy GLL Investors Inc. 425 West Surf Street Chicago, IL 60000 Xxx: 000-525-3038 Fax: 773-520-0000 xxxxxxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxex X. Xxxxxxx 00 Xxxxxx Xxxxx, Suite A Northbrook, IL 60062 Tel: 000-000-0000 Xxx: 000-000-0000 steven@crestviewcap.com --------------------------------- Xxxxx Xxxixxx, XXX x/x Xxxxxxx Xxvy 95 Revere Drive, Suite A Northbrook, IL 60062 Tel: 847-000-0000 Xxx: 000-000-0000 Richard@crestviewcap.com --------------------------------- Xxxxxxx P. Xxxxxxx x/x Xxxxxxx Xxair & Co. 222 W. Adams Street Chicaxx, XX 00000 Xxx: 213-300-0000 Xxx: 312-368-0000 xxxxxxxx@williamblair.com --------------------------------- Lachman Family Limited Partnership Attn: Mary Lachman 3140 Whisperwoxxx Xxxrt Northbrook, IL 60062 Tel: 847-500-0000 Xxx: 000-000-0000 xxxx@xxxxxxx.xxx --------------------------------- Josexx Xxxx Xx. Dxxxxxxxxxx xx Xxust, UAD May 1, 1986 3340 W. Main Sxxxxx Xxxxxe, Il 60076 Tel: 847-933-1197 Fax: 847-933-0000 --------------------------------- Nanxx Xxxx Xxxxcable Xxxxx 00 X. Howe Street Chicago, IL 60614 --------------------------------- Xxxx Xxxxxxx as custodian for Nathan A. Low Roth IRA c/o Sunrise Securitixx Xxxx. Attn: Nathan Low 00xx Xxxor 640 Xxxxxxton Avenue New York, N.Y. 10022 Tel: 000-021-1616 Fax: 212-000-0000 Xxxxxx@xxxxxxxxxxx.xxx --------------------------------- Xxxxx Xxxxd Xxxxxx Xxxx XXX x/x Xorth Sound Capital LLC Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- North Sound Legacy Institutional Fund LLC c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 FacxxxxxxXxxxx Xxxxxxx Fax: (000) 000-0000 Xxxx: Xxxxxxx Grundei-------------------------------------------------------------------------------------------------------- OMICRON MASTER TRUST Xxxxx Xxxxx, Esq. --------------------------------- Xxxxx Sound Xxxxxx Xxxxxxxxional Ltd c/o North Sound Omicron Capital Attn: Thomas McAuley 53 Forest AvenueL.P. Law Offices of Xxxxx Xxxxx 000 Xxxxxxx Xxxxxx, Suite 202 Old Greenwich00xx Floor 00 Xxxx 00xx Xxxxxx, CT 06870 Txx00xx Xxxxx Xxx Xxxx, XX 00000 Xxx Xxxx, XX 00000 Fax: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 FacxxxxxxTel: (000) 000-0000 Attn: Xxxxx Xxxx Fax: (000) 000-0000 -------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------- Name and Address Copy of Notice to: ---------------- ----------------- -------------------------------------------------------------------------------------------------------- PROVIDENT MASTER FUND, LTD. Xxxxx X. Xxxxxxx, P.C. 000 Xxxxx Xxxx Xxxx, #000 000 Xxxxxxx Xxxxxx, Xxxxx 0000 Xxxxxxx, XX 00000 Xxx Xxxx, XX 00000 Attn: Xxxxxxx Grundei, Esq. --------------------------------- XXX Xaster Fxxx Xxx x/x Xxxk Hill Investment Management, L.P 3 Bala Plaza East, Suite 585 Bala Cynwyd, PA 19004 Tel: 610-949-9700 XxxXxxxxxxxxxxxx Telephone: 000-000-0000 xxxxxxxx@xxxxxxxxxxxxx.xxx --------------------------------- Xxxxxx X. Xxxxxxx 000 Xxxxx Xxxx Winnetka, Il 60093 TelFax: 847(000) 000-920-1360 Xxx0000 Facsimile: 000-000-0080 xxxxxxxx@xxxxxxx.xxx EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders0000 -------------------------------------------------------------------------------------------------------- CHULA PARTNERS, LP 000 Xxxxx Xxxxxx Xxxxxx, Xxxxx 000 Xxxxxxxxx, XX 00000 Attn: Xxxxxx Xxxxxx Fax: (000) 000-0000 -------------------------------------------------------------------------------------------------------- DYNAMIC EQUITY HEDGE FUND Scotia Plaza, 55th Floor 00 Xxxx Xxxxxx Xxxx Xxxxxxx, Xxxxxxx X0X 0X0 Attn: Xxx Xxxxxxx Fax: (000) 000-0000 -------------------------------------------------------------------------------------------------------- XXXXXX X. XXXXX TTEE FBO THE XXXXXX X. XXXXX REVOCABLE LIVING TRUST 0000 Xxxx Xxxxx Xxxxxx, # 0000 Xxxxxxxxx, XX 00000 Attn: Xxxx Xxxxx or Xxx Xxxxxxx Fax: (000) 000-0000 -------------------------------------------------------------------------------------------------------- VIKING GLOBAL EQUITIES LP 000 Xxxx Xxxxxx Xxx Xxxx, XX 00000 Attn: Xxxxx Xxxxx -------------------------------------------------------------------------------------------------------- VGE III PORTFOLIO LTD. Sales of shares may be made by selling security holders000 Xxxx Xxxxxx Xxx Xxxx, including their respective doneesXX 00000 Attn: Xxxxx Xxxxx -------------------------------------------------------------------------------------------------------- ISLANDIA, transfereesL.P. c/o Xxxx Xxxx, pledgees or other successorsInc. 000 Xxxxxxx Xxxxxx, 00xx Xxxxx Xxx Xxxx, XX 00000 Attn: Fund Manager Fax: (000) 000-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the OTC Bulletin Board or any exchange upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re: National Coal Corp. Dear [______]: We are counsel to National Coal Corp., a Florida corporation (the "Company"), and have represented the Company in connection with that certain Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of August 31, 2004 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series A Cumulative Convertible Preferred Stock, par value $0.0001 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value $0.0001 per share (the "Common Stock") and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants and certain other shares of Common Stock, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Investor Rights Agreement, on ____________ ___, 2004, the Company filed a Registration Statement on Form SB-2 (File No. 333______________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES OF HOLDERS]0000 --------------------------------------------------------------------------------------------------------
Appears in 1 contract
Purchasers. NAME AND ADDRESS --------------------------------- Asset Managers International Lmtd HIG WIRELESS, INC. By: ----------------------------------------- Name: --------------------------------------- Title: -------------------------------------- c/o Vision Capital Advisors Attn: Jordan Fraser 954 3rd Avenue, Suite 402 New York, NY 10022 London, Exxxxxx Xxx: 010Doug Xxxxxx 1001 Xxxxxxxx Xxx Xxxxx Xxxxxx-000-0000 Xxx: 000-000-0000 Xxxxxx@xxxxxxx.com --------------------------------- Gix Xxxxxx 0000 Xxxxxxx Xxxxx Xxxxxx Xxxxon Grove, IL 60053 Tel: 312-474-4370 Xxxxxxx 000-000-6129 Evening Fax: 312-356-7020 axxxxx@xxxxxxring.com --------------------------------- Xxxxxxxxx Xaxxxxxx, XXX x/x X. Xxuglas Ralston 701 Harger Road, Suite 190 Oak Brook, IL 60523 Tel: 000-000-0000 Xxx: 000-000-0000 jralston@cone.com --------------------------------- Joex Xxxxxxxx 080 Xxxxxx Xx. Xxxxcoe, IL 60022 Tel: 847-835-5588 Fax: X/X xxxxxxxsxxxx@xxx.xxx --------------------------------- Xxxstview Capxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0000 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxxxxxxw Xxxxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0060 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxa Xxxxxxxx 000 Xxxxxxxxxx Lane Highland Park, IL 60035 Tel: 847-400-0000 Xxx: 800-000-0000 Xxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxxxx & Xxxxxxxx Xxxxx x/x Xxxxart Flink 170 Crestview Deerfield, XX 00005 Txx: 000-000-0085 Fax: 000-000-0070 xxxxxxx@xxxxxxxxx.xxx --------------------------------- Xxxxx X. Xxoxxx 000 Xxxxxxx Xxxx Lake Forest, IL 60045 Tel: 847-615-0000 Xxx: 000-010-0000 xxxxxxx000@xxx.xxx --------------------------------- GLX Xxxxxx Xxxaxxxx, X.X. x/x X. Stephen Gilboy GLL Investors Inc. 425 West Surf Street Chicago, IL 60000 Xxx: 000-525-3038 Fax: 773-520-0000 xxxxxxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxex X. Xxxxxxx 00 Xxxxxx Xxxxx, Suite A NorthbrookXxxxxxx 00000 Brentwood Associates IX, IL 60062 TelLP By: 000Brentwood IX Ventures, LLC Its General Partner By: /s/ Jeffxxx Xxxxx ----------------------------------------- Name: Jeffxxx Xxxxx --------------------------------------- Title: Managing Member -------------------------------------- c/o Barrx Xxxxxxx 3000 Xxxx Xxxx Xxxx Xxxx. 0, Xxxxx 000 Xxxxx Xxxx, Xxxxxxxxxx, 00000 SIGNATURE PAGE TO LETSXXXX.XXX, XXC. CO-000SALE AGREEMENT 17 PURCHASERS: HIG WIRELESS, INC. By: ----------------------------------------- Name: --------------------------------------- Title: -------------------------------------- c/o Doug Xxxxxx 1001 Xxxxxxxx Xxx Xxxxx Xxxxxx-0000 XxxXxxxxxx Xxxxx Xxxxx, Xxxxxxx 00000 Brentwood Affiliates Fund III LP By: 000Brentwood IX Ventures, LLC Its General Partner By: /s/ Jeffxxx Xxxxx ----------------------------------------- Name: Jeffxxx Xxxxx --------------------------------------- Title: Managing Member -------------------------------------- c/o Barrx Xxxxxxx 3000 Xxxx Xxxx Xxxx Xxxx. 0, Xxxxx 000 Xxxxx Xxxx, Xxxxxxxxxx, 00000 SIGNATURE PAGE TO LETSXXXX.XXX, XXC. CO-000SALE AGREEMENT PURCHASERS: G & H Partners 155 Xxxxxxxxxxxx Xxxxx Xxxxx Xxxx, Xxxxxxxxxx 00000 By: /s/ Gay S. Wxxx ----------------------------------------- Name: Gay S. Wxxx --------------------------------------- Title: Partner -------------------------------------- SIGNATURE PAGE TO LETSXXXX.XXX, XXC. CO-0000 steven@crestviewcap.com --------------------------------- Xxxxx Xxxixxx, XXX x/x Xxxxxxx Xxvy 95 Revere Drive, Suite A Northbrook, IL 60062 TelSALE AGREEMENT PURCHASERS: 847-000-0000 XxxAccel VII L.P. By: 000-000-0000 Richard@crestviewcap.com --------------------------------- Xxxxxxx P. Xxxxxxx x/x Xxxxxxx Xxair & Co. 222 W. Adams Street ChicaxxAccel VII Associates L.L.C. Its General Partner By: /s/ G. Cxxxxx Xxxnaoui ----------------------------------------- G. Cxxxxx Xxxnaoui Managing Member Accel Internet Fund III L.P. By: Accel Internet Fund III Associates L.L.C. Its General Partner By: /s/ G. Cxxxxx Xxxnaoui ----------------------------------------- G. Cxxxxx Xxxnaoui Managing Member Accel Investor '99 L.P. By: /s/ G. Cxxxxx Xxxnaoui ----------------------------------------- G. Cxxxxx Xxxnaoui General Partner Addresses for Notices: Accel Partners 428 Xxxxxxxxxx Xxxxxx Xxxx Xxxx, XX 00000 Xxx: 213-300-0000 Xxx: 312-368-0000 xxxxxxxx@williamblair.com --------------------------------- Lachman Family Limited Partnership Attn: Mary Lachman 3140 Whisperwoxxx Xxxrt Northbrook, IL 60062 Therxxxx Xxxx Xxxzetta and Jamex X. Xxxxxx Tel: 847-500-0000 Xxx: 000-000-0000 xxxx@xxxxxxx.xxx --------------------------------- Josexx Xxxx Xx. Dxxxxxxxxxx xx Xxust, UAD May 1, 1986 3340 W. Main Sxxxxx Xxxxxe, Il 60076 Tel: 847-933-1197 Fax: 847-933-0000 --------------------------------- Nanxx Xxxx Xxxxcable Xxxxx 00 X. Howe Street Chicago, IL 60614 --------------------------------- Xxxx Xxxxxxx as custodian for Nathan A. Low Roth IRA c/o Sunrise Securitixx Xxxx. Attn: Nathan Low 00xx Xxxor 640 Xxxxxxton Avenue New York, N.Y. 10022 Tel: 000-021-1616 Fax: 212-000-0000 Xxxxxx@xxxxxxxxxxx.xxx --------------------------------- Xxxxx Xxxxd Xxxxxx Xxxx XXX x/x Xorth Sound Capital LLC Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000650) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- North Sound Legacy Institutional Fund LLC c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 TelephoneFax: (000) 363-0000 Facxxxxxx: (000650) 000-0000 Xxxx: Xxxxxxx Grundeiand Accel Partners One Xxxxxx Xxxxxx Princeton, Esq. --------------------------------- Xxxxx Sound Xxxxxx Xxxxxxxxional Ltd c/o North Sound Capital NJ 08542 Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 TelephoneG. Cxxxxx Xxxnaoui Tel: (000) 363-0000 Facxxxxxx: (000609) 000-0000 XxxxFax: Xxxxxxx Grundei, Esq. --------------------------------- XXX Xaster Fxxx Xxx x/x Xxxk Hill Investment Management, L.P 3 Bala Plaza East, Suite 585 Bala Cynwyd, PA 19004 Tel: 610-949-9700 Xxx: (609) 000-000-0000 xxxxxxxx@xxxxxxxxxxxxx.xxx --------------------------------- Xxxxxx X. Xxxxxxx 000 Xxxxx Xxxx Winnetka, Il 60093 Tel: 847-920-1360 Xxx: 000-000-0080 xxxxxxxx@xxxxxxx.xxx EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the OTC Bulletin Board or any exchange upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re: National Coal Corp. Dear [______]: We are counsel to National Coal Corp., a Florida corporation (the "Company"), and have represented the Company in connection with that certain Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of August 31, 2004 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series A Cumulative Convertible Preferred Stock, par value $0.0001 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value $0.0001 per share (the "Common Stock") and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants and certain other shares of Common Stock, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Investor Rights Agreement, on ____________ ___, 2004, the Company filed a Registration Statement on Form SB-2 (File No. 333______________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES OF HOLDERS]0000
Appears in 1 contract
Purchasers. SHARES OF CONVERTIBLE PREFERRED AGGREGATE PURCHASER NAME STOCK/WARRANTS PURCHASED PURCHASE PRICE AND NOTICE ADDRESS --------------------------------- Asset Managers International Lmtd FROM THE COMPANY PAID AT CLOSING ------------------------------------------ ----------------------------------- ---------------- Societe Generale 4,000 Preferred Shares $4,000,000 c/o Vision Capital Advisors Attn: Jordan Fraser 954 3rd Avenue, Suite 402 New York, NY 10022 London, Exxxxxx Xxx: 010-000-0000 Xxx: 000-000-0000 Xxxxxx@xxxxxxx.com --------------------------------- Gix SG Cxxxx Xxxurities Corporation 221,402 Warrants 1221 Xxxxxx 0000 Xxxxx Xxxxxx Xxxxon Grove, IL 60053 Tel: 312-474-4370 Xxxxxxx 000-000-6129 Evening Fax: 312-356-7020 axxxxx@xxxxxxring.com --------------------------------- Xxxxxxxxx Xaxxxxxx, XXX x/x X. Xxuglas Ralston 701 Harger Road, Suite 190 Oak Brook, IL 60523 Tel: 000-000-0000 Xxx: 000-000-0000 jralston@cone.com --------------------------------- Joex xx xxx Xxxxxxxx 080 Xxxxxx Xx. Xxxxcoe, IL 60022 Tel: 847-835-5588 Fax: X/X xxxxxxxsxxxx@xxx.xxx --------------------------------- Xxxstview Capxxxx Xxxxxx XXX Xxx Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0000 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxxxxxxw Xxxxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0060 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxa Xxxxxxxx 000 Xxxxxxxxxx Lane Highland Park, IL 60035 Tel: 847-400-0000 Xxx: 800-000-0000 Xxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxxxx & Xxxxxxxx Xxxxx x/x Xxxxart Flink 170 Crestview Deerfield, XX 00005 Txx: 000-000-0085 Fax: 000-000-0070 xxxxxxx@xxxxxxxxx.xxx --------------------------------- Xxxxx X. Xxoxxx 000 Xxxxxxx Xxxx Lake Forest, IL 60045 Tel: 847-615-0000 Xxx: 000-010-0000 xxxxxxx000@xxx.xxx --------------------------------- GLX Xxxxxx Xxxaxxxx, X.X. x/x X. Stephen Gilboy GLL Investors Inc. 425 West Surf Street Chicago, IL 60000 Xxx: 000-525-3038 Fax: 773-520-0000 xxxxxxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxex X. Xxxxxxx 00 Xxxxxx Xxxxx, Suite A Northbrook, IL 60062 Tel: 000-000-0000 Xxx: 000-000-0000 steven@crestviewcap.com --------------------------------- Xxxxx Xxxixxx, XXX x/x Xxxxxxx Xxvy 95 Revere Drive, Suite A Northbrook, IL 60062 Tel: 847-000-0000 Xxx: 000-000-0000 Richard@crestviewcap.com --------------------------------- Xxxxxxx P. Xxxxxxx x/x Xxxxxxx Xxair & Co. 222 W. Adams Street Chicaxx, XX 00000 XxxXxxn: 213-300-0000 Xxx: 312-368-0000 xxxxxxxx@williamblair.com --------------------------------- Lachman Family Limited Partnership Attn: Mary Lachman 3140 Whisperwoxxx Xxxrt Northbrook, IL 60062 Tel: 847-500-0000 Xxx: 000-000-0000 xxxx@xxxxxxx.xxx --------------------------------- Josexx Xxxx Xx. Dxxxxxxxxxx xx Xxust, UAD May 1, 1986 3340 W. Main Sxxxxx Xxxxxe, Il 60076 Tel: 847-933-1197 Fax: 847-933-0000 --------------------------------- Nanxx Xxxx Xxxxcable Xxxxx 00 X. Howe Street Chicago, IL 60614 --------------------------------- Xxxx Xxxxxxx as custodian for Nathan A. Low Roth IRA c/o Sunrise Securitixx Xxxx. Attn: Nathan Low 00xx Xxxor 640 Xxxxxxton Avenue New York, N.Y. 10022 Tel: 000-021-1616 Fax: 212-000-0000 Xxxxxx@xxxxxxxxxxx.xxx --------------------------------- Xxxxx Xxxxd Guilxxxxx Xxxxxx Xxxx XXX x/x Xorth Sound Capital LLC Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 TelephoneXxxsimile No.: (000) 363-0000 Facxxxxxx: (000212) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- North Sound Legacy Institutional Fund LLC c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 TelephoneXxxephone No.: (000) 363-0000 Facxxxxxx: (000212) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- Xxxxx Sound Xxxxxx Xxxxxxxxional Ltd c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy xxth a copy to: Jonex, Xxy, Reavxx & Xogux 000 Xxxxxxxxx Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx XxxxxxxxXxx Xxxx, CT 06901 TelephoneXxx Xxxx 00000 Xxxn: J. Eric Xxxx Xxxsimile No.: (000) 363-0000 Facxxxxxx: (000212) 000-0000 XxxxXxxephone No.: Xxxxxxx Grundei, Esq. --------------------------------- XXX Xaster Fxxx Xxx x/x Xxxk Hill Investment Management, L.P 3 Bala Plaza East, Suite 585 Bala Cynwyd, PA 19004 Tel: 610-949-9700 Xxx: 000-(212) 000-0000 xxxxxxxx@xxxxxxxxxxxxx.xxx --------------------------------- ------------------------------------------ ----------------------------------- ---------------- CATALPA ENTERPRISES LTD. 3,000 Preferred Shares $3,000,000 c/o Kennxxx X. Xxxxx 166,051 Warrants 155 Xxxxxxxx Xxxxx X.X.#0 Xxxxxxxxx, Xxxxxxx X0X 0X0 ------------------------------------------ ----------------------------------- ---------------- Jeffxxx X. Xxxxxx 500 Preferred Shares $500,000 51 Monte Vista 27,675 Warrants Athexxxx, XX 00000 ------------------------------------------ ----------------------------------- ---------------- ------------------------------------------ ----------------------------------- ---------------- SHARES OF CONVERTIBLE PREFERRED AGGREGATE PURCHASER NAME STOCK/WARRANTS PURCHASED PURCHASE PRICE AND NOTICE ADDRESS FROM THE COMPANY PAID AT CLOSING ------------------------------------------ ----------------------------------- ---------------- Robexx X. Xxxxxxx 000 Xxxxxx 1,500 Preferred Shares $1,500,000 c/o Duxxxx xxx Associates 83,025 Warrants 1933 Xxxxx Xxxxx Xxxxx 00 Xxxxx Xxxxxxx, XX 00000 ------------------------------------------ ----------------------------------- ---------------- Mahkxx Xxxxxxxx 24 Preferred Shares $24,000 25 Pxxxx xxx Xxxxxx 1,328 Warrants 67000 Xxxxxxxxxx Xxxxxx ------------------------------------------ ----------------------------------- ---------------- BayStar Capital, LP 700 Preferred Shares $700,000 c/o BayStar Management LLC 38,745 Warrants 1500 Xxxx WinnetkaXxxxxx Xxxxxx Xxxxxx, Il 60093 TelXX 00000 Xxxn: 847-920-1360 XxxMr. Briax Xxxxxxxx ------------------------------------------ ----------------------------------- ---------------- BayStar International, Ltd. 300 Preferred Shares $300,000 c/o BayStar International Management LLC 16,605 Warrants 1500 Xxxx Xxxxxx Xxxxxx Xxxxxx, XX 00000 Xxxn: 000-000-0080 xxxxxxxx@xxxxxxx.xxx Mr. Briax Xxxxxxxx ------------------------------------------ ----------------------------------- ---------------- EXHIBIT A PLAN FORM OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the OTC Bulletin Board or any exchange upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. CERTIFICATE OF DESIGNATION [See Exhibit 4.1] EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT WARRANTS [Name and Address of Transfer Agent] Re: National Coal Corp. Dear [______See Exhibit 4.3]: We are counsel to National Coal Corp., a Florida corporation (the "Company"), and have represented the Company in connection with that certain Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of August 31, 2004 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series A Cumulative Convertible Preferred Stock, par value $0.0001 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value $0.0001 per share (the "Common Stock") and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants and certain other shares of Common Stock, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Investor Rights Agreement, on ____________ ___, 2004, the Company filed a Registration Statement on Form SB-2 (File No. 333______________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES OF HOLDERS]
Appears in 1 contract
Samples: Securities Purchase Agreement (Computer Motion Inc)
Purchasers. NAME AND ADDRESS --------------------------------- Asset Managers International Lmtd c/o Vision Capital Advisors Attn: Jordan Fraser 954 3rd AvenueNumber of Purchaser Shares to be Purchased Purchase Price -------------------------------------------------------------------------------- Andesite Management, Suite 402 New York, NY 10022 London, Exxxxxx Xxx: 010-000-0000 Xxx: 000-000-0000 Xxxxxx@xxxxxxx.com --------------------------------- Gix Xxxxxx 0000 Xxxxx Xxxxxx Xxxxon Grove, IL 60053 Tel: 312-474-4370 Xxxxxxx 000-000-6129 Evening Fax: 312-356-7020 axxxxx@xxxxxxring.com --------------------------------- Xxxxxxxxx Xaxxxxxx, XXX x/x X. Xxuglas Ralston 701 Harger Road, Suite 190 Oak Brook, IL 60523 Tel: 000-000-0000 Xxx: 000-000-0000 jralston@cone.com --------------------------------- Joex Xxxxxxxx 080 Xxxxxx Xx. Xxxxcoe, IL 60022 Tel: 847-835-5588 Fax: X/X xxxxxxxsxxxx@xxx.xxx --------------------------------- Xxxstview Capxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0000 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxxxxxxw Xxxxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0060 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxa Xxxxxxxx 000 Xxxxxxxxxx Lane Highland Park, IL 60035 Tel: 847-400-0000 Xxx: 800-000-0000 Xxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxxxx & Xxxxxxxx Xxxxx x/x Xxxxart Flink 170 Crestview Deerfield, XX 00005 Txx: 000-000-0085 Fax: 000-000-0070 xxxxxxx@xxxxxxxxx.xxx --------------------------------- Xxxxx X. Xxoxxx 000 Xxxxxxx Xxxx Lake Forest, IL 60045 Tel: 847-615-0000 Xxx: 000-010-0000 xxxxxxx000@xxx.xxx --------------------------------- GLX Xxxxxx Xxxaxxxx, X.X. x/x X. Stephen Gilboy GLL Investors Inc. 425 West Surf Street Chicago, IL 60000 Xxx: 000-525-3038 Fax: 773-520-0000 xxxxxxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxex X. Xxxxxxx 00 Xxxxxx Xxxxx, Suite A Northbrook, IL 60062 Tel: 000-000-0000 Xxx: 000-000-0000 steven@crestviewcap.com --------------------------------- Xxxxx Xxxixxx, XXX x/x Xxxxxxx Xxvy 95 Revere Drive, Suite A Northbrook, IL 60062 Tel: 847-000-0000 Xxx: 000-000-0000 Richard@crestviewcap.com --------------------------------- Xxxxxxx P. Xxxxxxx x/x Xxxxxxx Xxair & Co. 222 W. Adams Street Chicaxx, XX 00000 Xxx: 213-300-0000 Xxx: 312-368-0000 xxxxxxxx@williamblair.com --------------------------------- Lachman Family Limited Partnership Attn: Mary Lachman 3140 Whisperwoxxx Xxxrt Northbrook, IL 60062 Tel: 847-500-0000 Xxx: 000-000-0000 xxxx@xxxxxxx.xxx --------------------------------- Josexx Xxxx Xx. Dxxxxxxxxxx xx Xxust, UAD May 1, 1986 3340 W. Main Sxxxxx Xxxxxe, Il 60076 Tel: 847-933-1197 Fax: 847-933-0000 --------------------------------- Nanxx Xxxx Xxxxcable Xxxxx 00 X. Howe Street Chicago, IL 60614 --------------------------------- Xxxx Xxxxxxx as custodian for Nathan A. Low Roth IRA c/o Sunrise Securitixx Xxxx. Attn: Nathan Low 00xx Xxxor 640 Xxxxxxton Avenue New York, N.Y. 10022 Tel: 000-021-1616 Fax: 212-000-0000 Xxxxxx@xxxxxxxxxxx.xxx --------------------------------- Xxxxx Xxxxd Xxxxxx Xxxx XXX x/x Xorth Sound Capital LLC Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- North Sound Legacy Institutional L.P. 50,000 $937,500.00 -------------------------------------------------------------------------------- Colonial Fund LLC c/o North Sound 150,000 $937,500.00 -------------------------------------------------------------------------------- Domain Public Equity Partners, L.P. 100,000 $625,000.00 -------------------------------------------------------------------------------- Fortis L Fund Equity Pharma World 93,750 $585,937.50 -------------------------------------------------------------------------------- Fortis L Fund Opportunity World 31,250 $195,312.50 -------------------------------------------------------------------------------- Heartland Group, Inc. 300,000 $1,875,000.00 -------------------------------------------------------------------------------- ProMed Offshore Fund, Ltd. 11,490 $71,812.50 -------------------------------------------------------------------------------- ProMed Partners, L.P. 71,260 $445,375.00 -------------------------------------------------------------------------------- ProMed Partners II, L.P. 17,250 $107,812.50 -------------------------------------------------------------------------------- Sagitta Asset Management Ltd. 50,000 $312,500.00 -------------------------------------------------------------------------------- SF Capital Attn: Thomas McAuley 53 Forest AvenuePartners, Suite 202 Old GreenwichLtd. 50,000 $312,500.00 -------------------------------------------------------------------------------- Special Situations Cayman Fund L.P. 480,000 $3,000,000.00 -------------------------------------------------------------------------------- Special Situations Fund III, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx XxxxxxxxL.P. 144,000 $900,000.00 -------------------------------------------------------------------------------- Special Situations Private Equity Fund, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx GrundeiL.P. 176,000 $1,100,000.00 -------------------------------------------------------------------------------- Ursus Capital, Esq. --------------------------------- Xxxxx Sound Xxxxxx Xxxxxxxxional Ltd c/o North Sound Capital Attn: Thomas McAuley 53 Forest AvenueL.P. 30,200 $188,750.00 -------------------------------------------------------------------------------- Ursus Offshore, Suite 202 Old GreenwichLtd. 19,800 $123,750.00 -------------------------------------------------------------------------------- Zeke, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- XXX Xaster Fxxx Xxx x/x Xxxk Hill Investment Management, L.P 3 Bala Plaza East, Suite 585 Bala Cynwyd, PA 19004 Tel: 610-949-9700 Xxx: 000-000-0000 xxxxxxxx@xxxxxxxxxxxxx.xxx --------------------------------- Xxxxxx X. Xxxxxxx 000 Xxxxx Xxxx Winnetka, Il 60093 Tel: 847-920-1360 Xxx: 000-000-0080 xxxxxxxx@xxxxxxx.xxx EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the OTC Bulletin Board or any exchange upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT LP 225,000 $1,406,250.00 -------------------------------------------------------------------------------- Exhibit B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re: National Coal Corp. Dear [--------- June ___, 2004 Purchasers of Common Stock of STAAR Surgical Company Listed on Exhibit A to the Stock Purchase Agreement Re: Stock Purchase Agreement dated as of June ___], 2004 among STAAR Surgical Company and the Purchasers Listed on Exhibit A thereto --------------------------------------------------------------------- Ladies and Gentlemen: We are have acted as special counsel to National Coal Corp.for STAAR Surgical Company, a Florida Delaware corporation (the "Company"), and have represented the Company in connection with that certain Preferred the sale by the Company to you of 1,700,000 shares of the Company's Common Stock and Warrant (the "Shares") pursuant to the Stock Purchase Agreement (the "Purchase Agreement") dated as of August 31June __, 2004 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series persons listed on Exhibit A Cumulative Convertible Preferred Stock, par value $0.0001 per share, attached thereto (the "Preferred StockPurchasers") convertible into shares ). Unless defined herein, capitalized terms have the meanings given them in the Purchase Agreement. The Purchase Agreement and the Registration Rights Agreement, as defined therein, are referred to herein as the "Agreements." As to matters of fact, in the absence of actual knowledge to the contrary, we are relying upon the representations and warranties of all parties contained in the Agreements and the Certificate of the Company's common stock, par value $0.0001 per share Company and Certificate of the Chief Financial Officer attached hereto (the "Common StockOpinion Certificates") and warrants upon certificates and statements of government officials, all without independent verification. In addition, we examined originals or copies of documents, corporate records and other writings that we consider relevant for the purposes of this opinion. In such examination, we assumed that the signatures on documents and instruments examined by us are authentic, that each is complete and what it purports to purchase shares be, that all documents and instruments submitted to us as copies or facsimiles conform with the originals, and that the documents and instruments submitted to us have not been amended or modified since the date submitted. In our examination of documents, we further assumed (i) that each person or entity entering into such documents (other than the Company in connection with the Agreements) had the power, legal competence and capacity to enter into and perform all of such party's obligations thereunder, (ii) the due authorization, execution and delivery by each party (other than the due authorization, execution and delivery of the Common Stock Agreements by the Company), (iii) the "Warrants"). Pursuant enforceability and binding nature of the obligations of the parties to such documents (other than as to the Purchase Agreementenforceability against, and the binding nature upon, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise Agreements), (iv) that there is no fact or circumstance relating to any party that might prevent the Purchasers from enforcing any of the Warrants and certain other shares rights provided for in the Agreements, (v) performance on or before the Closing by all parties of Common Stock, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's their obligations under the Investor Rights AgreementAgreements to be performed on or before the Closing and (vi) no action has been taken or event occurred which amends, revokes, terminates or renders invalid any of the documents, records, consents or resolutions which we have reviewed since the date of the certificates we relied upon in rendering this opinion. We also assumed that there are no extrinsic agreements or understandings among the parties to the Agreements or Contractual Obligations (as defined below) that would modify or interpret the terms of the Agreements or contracts expressly identified on ____________ ___, 2004Schedule A hereto or the respective rights or obligations of the parties thereunder. As used in this opinion, the Company filed a Registration Statement on Form SB-2 (File No. 333______________) (the expression "Registration Statementto our knowledge" or ") known to us" with the Securities and Exchange Commission (the "SEC") relating reference to matters of fact refers to the Registrable Securities which names each current actual knowledge of any attorney within the firm who has participated in the transactions covered by this opinion. Except to the extent expressly set forth herein we have not undertaken any independent investigation to determine the accuracy or completeness of such statement (including without limitation any examination of any documents in our files or otherwise made available to us by the Company), and no inference as to the accuracy or completeness of such statement should be drawn from our representation of the Holders as a selling securityholder thereunderCompany or our rendering the opinions set forth below. In connection with Based upon and subject to the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC foregoing and the Registrable Securities are available for resale under qualifications and limitations set forth below, and except as set forth in the 1933 Act pursuant to the Registration Statement. Very truly yoursAgreements, Byit is our opinion that:__________________________________ cc: [LIST NAMES OF HOLDERS]
Appears in 1 contract
Purchasers. NAME AND ADDRESS --------------------------------- Asset Managers International Lmtd c/o Vision Capital Advisors Attn: Jordan Fraser 954 3rd Avenue, Suite 402 New York, NY 10022 London, Exxxxxx Xxx: 010-000-0000 Xxx: 000-000-0000 Xxxxxx@xxxxxxx.com --------------------------------- Gix Xxxxxx 0000 Xxxxx Xxxxxx Xxxxon Grove, IL 60053 Tel: 312-474-4370 Xxxxxxx 000-000-6129 Evening Fax: 312-356-7020 axxxxx@xxxxxxring.com --------------------------------- Xxxxxxxxx Xaxxxxxx, XXX x/x X. Xxuglas Ralston 701 Harger Road, Suite 190 Oak Brook, IL 60523 Tel: 000-000-0000 Xxx: 000-000-0000 jralston@cone.com --------------------------------- Joex Xxxxxxxx 080 Xxxxxx Xx. Xxxxcoe, IL 60022 Tel: 847-835-5588 Fax: X/X xxxxxxxsxxxx@xxx.xxx --------------------------------- Xxxstview Capxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0000 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxxxxxxw Xxxxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0060 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxa Xxxxxxxx 000 Xxxxxxxxxx Lane Highland Park, IL 60035 Tel: 847-400-0000 Xxx: 800-000-0000 Xxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxxxx & Xxxxxxxx Xxxxx x/x Xxxxart Flink 170 Crestview Deerfield, XX 00005 Txx: 000-000-0085 Fax: 000-000-0070 xxxxxxx@xxxxxxxxx.xxx --------------------------------- Xxxxx X. Xxoxxx 000 Xxxxxxx s/ Xxxx Lake Forest, IL 60045 Tel: 847-615-0000 Xxx: 000-010-0000 xxxxxxx000@xxx.xxx --------------------------------- GLX Xxxxxx Xxxaxxxx, X.X. x/x X. Stephen Gilboy GLL Investors Inc. 425 West Surf Street Chicago, IL 60000 Xxx: 000-525-3038 Fax: 773-520-0000 xxxxxxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxex X. Xxxxxxx 00 Xxxxxx Xxxxx, Suite -------------------------------------------------- By: Xxxx X. Xxxxxxx ---------------------------------------------- Title: INDIVIDUAL ------------------------------------------- SIGNATURE PAGE TO STOCK PURCHASE AGREEMENT EXHIBIT A Northbrook, IL 60062 TelLEGAL ENTITY NAME & ADDRESS OF PURCHASER NUMBER OF COMMON SHARES & DOLLAR AMOUNT OF WARRANTSPURCHASED INVESTMENT RENAISSANCE US GROWTH INVESTMENT TRUST PLC Common Shares: 000-000-0000 Xxx8,000,000 $2,000,000 Frost National Bank Warrants: 000-000-0000 steven@crestviewcap.com --------------------------------- 4,000,000 000 X. Xxxxxxx Street ATTN: Xxxxx Xxxixxx, XXX x/x Xxxxxxx Xxvy 95 Revere Drive, Suite A Northbrook, IL 60062 Tel: 847-000-0000 Xxx: 000-000-0000 Richard@crestviewcap.com --------------------------------- Xxxxxxx P. Xxxxxxx x/x Xxxxxxx Xxair & Co. 222 W. Adams Street ChicaxxXxxxxxxxx T-8 Xxx Xxxxxxx, XX 00000 XxxContact for docs: 213-300-0000 Xxx: 312-368-0000 xxxxxxxx@williamblair.com --------------------------------- Lachman Family Limited Partnership Attn: Mary Lachman 3140 Whisperwoxxx Xxxrt Northbrook, IL 60062 Xxxx Xxxxxxxx Tel: 847-500-0000 Xxx: 000-000-0000 xxxx@xxxxxxx.xxx --------------------------------- Josexx Xxxx Xx. Dxxxxxxxxxx xx Xxust, UAD May 1, 1986 3340 W. Main Sxxxxx Xxxxxe, Il 60076 Tel: 847-933-1197 Fax: 847-933-0000 --------------------------------- Nanxx Xxxx Xxxxcable Xxxxx 00 X. Howe Street Chicago, IL 60614 --------------------------------- Xxxx Xxxxxxx as custodian for Nathan A. Low Roth IRA c/o Sunrise Securitixx Xxxx. Attn: Nathan Low 00xx Xxxor 640 Xxxxxxton Avenue New York, N.Y. 10022 Tel: 000-021-1616 Fax: 212-000-0000 Xxxxxx@xxxxxxxxxxx.xxx --------------------------------- Xxxxx Xxxxd Xxxxxx Xxxx XXX x/x Xorth Sound Capital LLC Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363000-0000 Facxxxxxx0000/ Fax: (000) 000-0000 XxxxEmail: xxxxxxxxx@xxxxxxxxxx.xxx RENAISSANCE CAPITAL GROWTH & INCOME FUND III, INC. Common Shares: 4,000,000 $1,000,000 Frost National Bank Warrants: 2,000,000 000 X. Xxxxxxx GrundeiStreet ATTN: Xxxxx Xxxxxxxxx T-8 Xxx Xxxxxxx, Esq. --------------------------------- North Sound Legacy Institutional Fund LLC c/o North Sound Capital AttnXX 00000 Contact for docs: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 TelephoneXxxx Xxxxxxxx Tel: (000) 363000-0000 Facxxxxxx0000/ Fax: (000) 000-0000 XxxxEmail: xxxxxxxxx@xxxxxxxxxx.xxx US SPECIAL OPPORTUNITIES TRUST PLC Common Shares: 4,000,000 $1,000,000 Frost National Bank Warrants: 2,000,000 000 X. Xxxxxxx GrundeiStreet ATTN: Xxxxx Xxxxxxxxx T-8 Xxx Xxxxxxx, Esq. --------------------------------- Xxxxx Sound Xxxxxx Xxxxxxxxional Ltd c/o North Sound Capital AttnXX 00000 Contact for docs: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 TelephoneXxxx Xxxxxxxx Tel: (000) 363000-0000 Facxxxxxx0000/ Fax: (000) 000-0000 XxxxEmail: xxxxxxxxx@xxxxxxxxxx.xxx PREMIER XXXX US EMERGING GROWTH FUND LTD. Common Shares: 2,000,000 $500,000 Premier XXXX US Emerging Growth Fund Ltd. Warrants: 1,000,000 Acct # PRN01/17-28085 c/o Xxxxxxxx Xxxxxxx GrundeiThe Northern Trust Company 000 Xxxxx Xxxxx Xxxxxx, Esq. --------------------------------- XXX Xaster Fxxx Xxx x/x Xxxk Hill Investment ManagementX-0-Xxxxx Xxxxxxx, L.P 3 Bala Plaza East, Suite 585 Bala Cynwyd, PA 19004 XX 00000 Contact for docs: Xxxx Xxxxxxxx Tel: 610(000) 000-9490000/ Fax: (000) 000-9700 0000 Email: xxxxxxxxx@xxxxxxxxxx.xxx Legal Entity Name & Number of Common Shares & Dollar Amount of Address of Purchaser Warrants Purchased Investment Xxxxx X. XxXxxxx 4,000,000 shares $1,000,000 000 Xxxxx Xxxxx Xx 2,000,000 warrants Xxxxxxxx, XX 00000 Legal Entity Name & Number of Common Shares & Dollar Amount of Address of Purchaser Warrants Purchased Investment SANO VENTURES XII LLC COMMON SHARES $1,000,000 c/o XXXXXXX XXXXX 4,000,000 0000 XXXXXXXX 00XX XXXXX XXXXXXXX XXX XXXX, XX 00000 2,000,000 Legal Entity Name & Number of Common Shares & Dollar Amount of Address of Purchaser Warrants Purchased Investment Xxxxx Opportunity Fund LP 3,132,000 shares $783,000 1,556,000 warrants XXX Opportunity LTD 908,000 shares $227,000 454,000 warrants Legal Entity Name & Number of Common Shares & Dollar Amount of Address of Purchaser Warrants Purchased Investment Stiassni Capital 4,000,000 common $1,000,000.00 Partners, L.P. 2,000,000 warrants 0000 Xxxxx Xxxxxx Xxxxx, Xxxx Xxxxxx Xxxxx Xxxxxx, XX 00000 Attn: Xxxxxxxx X. Xxxxxxxx 310/000-0000 310/544-6349 FAX xx@xxxxxxxxxxxxxxx.xxx Legal Entity Name & Number of Common Shares & Dollar Amount of Address of Purchaser Warrants Purchased Investment London Family Trust 1.6 million shares $400,000 0000 X. Xxxxxx Xx Xxxxx X 800,000 warrants Xxxxxxxxx, XX 00000 Legal Entity Name & Number of Common Shares & Dollar Amount of Address of Purchaser Warrants Purchased Investment STARWOOD CAPITAL 1,600,000 COMMON SHARES $400,000 000 XXXX XXXXXX XXX. 800,000 WARRANTS XXXXXXXXX, XX 00000 Legal Entity Name & Number of Common Shares & Dollar Amount of Address of Purchaser Warrants Purchased Investment XXXXXXX XXXXXXXX JR. 750,000 COMMON SHARES $300,000.00 00 XXXXXXX XXXX 375,000 WARRANTS XXXXXXXXX, XX 00000 MAIL TO: XXXXXXX XXXXXXXX JR. X.X. XXX 00 XXX XXXXXXXXX, XX 00000 Legal Entity Name & Number of Common Shares & Dollar Amount of Address of Purchaser Warrants Purchased Investment Iroquois Master Fund Ltd. 1,000,000 shares 250,000 000 Xxxxxxxxx Xxx. 26th Fl. 500,000 warrants Xxx Xxxx, XX 00000 Legal Entity Name & Number of Common Shares & Dollar Amount of Address of Purchaser Warrants Purchased Investment ALB Private 400,000 COMMON SHARES $100,000.00 Investments, LLC 200,000 WARRANTS 00 Xxxxxxxxxxx Xxxxx Xxxxx 0000 Xxx Xxxx, XX 00000 Legal Entity Name & Number of Common Shares & Dollar Amount of Address of Purchaser Warrants Purchased Investment Sophrosyne Technology 600,000 COMMON SHARES $150,000 Fund Ltd. 300,000 WARRANTS XXXXXXX XXXXX & CO. F/B/O/ SOPHROSYNE TECHNOLOGY FUND LTD. 0 XXX XXXX XXXXX, 00XX XX. XXX XXXX, XXX XXXX 00000 Legal Entity Name & Number of Common Shares & Dollar Amount of Address of Purchaser Warrants Purchased Investment XXXXXXX XXXXXXXX 200,000 SHARES $50,000 00 XXXX'X XXX XXXX 100,000 WARRANTS XXXXXX, XX 00000 Legal Entity Name & Number of Common Shares & Dollar Amount of Address of Purchaser Warrants Purchased Investment XXXX XXXX XXXXXXX COMMON: 200,000 $50,000 00 XXXXXXXX XXX. WARRANTS: 100,000 XXXXXXXX, XX 00000 ###-##-#### Email: xxxxxxxx@xxxx.xxxxxxx.xxx Phone: 000-000-0000 xxxxxxxx@xxxxxxxxxxxxx.xxx --------------------------------- Xxxxxx Legal Entity Name & Number of Common Shares & Dollar Amount of Address of Purchaser Warrants Purchased Investment Xxxxxxxx X. Xxxxxxx 200,000 shares $50,0000 12 Darien Close 100,000 warrants Xxxxxx, XX 00000 Legal Entity Name & Number of Common Shares & Dollar Amount of Address of Purchaser Warrants Purchased Investment Xxxxxxxx Curhan Ford & Co. 630,000 COMMON SHARES $157,500 Ford & Co. 315,000 WARRANTS 000 Xxxxxxxxxx Xxxxxx 0xx Xxxxx Xxx Xxxxxxxxx, XX 00000 Legal Entity Name & Number of Common Shares & Dollar Amount of Address of Purchaser Warrants Purchased Investment STONEPINE CAPITAL, L.P. 100,000 shares $25,000 000 Xxxxxxx Xx. 50,000 warrants Xxxxx 000 Xxx Xxxxxxxxx, XX 00000 Legal Entity Name & Number of Common Shares & Dollar Amount of Address of Purchaser Warrants Purchased Investment XXXX XXXXXXX 100,000 COMMON SHARES $25,000 0000 XXXXXXXXX XX. 50,000 WARRANTS XXX XXXXXXXXX, XX 00000 Legal Entity Name & Number of Common Shares & Dollar Amount of Address of Purchaser Warrants Purchased Investment Xxxxx Xxxxxxxxx 100,000 shares $25,000 000 Xxxxxxxxxx Xxxxxx, 50,000 warrant shares 0xx XX Xxx Xxxxxxxxx, XX 00000 Legal Entity Name & Number of Common Shares & Dollar Amount of Address of Purchaser Warrants Purchased Investment Xxxx WinnetkaX. Xxxxxxxx 60,000 shares $15,000.00 0000 Xxxx Xx. 30,000 warrants Xxx Xxxxxxxxx, Il 60093 TelXX 00000 Legal Entity Name & Number of Common Shares & Dollar Amount of Address of Purchaser Warrants Purchased Investment XXXX X. XXXXXXX 10,000 SHARES $2,500.00 0000 XXXXXXXXX XXXXXX 5,000 WARRANTS XXX XXXXXXXXX, XX 00000 HOME: 847-920-1360 Xxx: (000) 000-000-0080 xxxxxxxx@xxxxxxx.xxx EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the OTC Bulletin Board or any exchange upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following0000 EMAIL: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. XXXX@XXXXXXXXXXX.XXX EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS WARRANT EXHIBIT C FORM OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re: National Coal Corp. Dear [______]: We are counsel to National Coal Corp., a Florida corporation (the "Company"), and have represented the Company in connection with that certain Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of August 31, 2004 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series A Cumulative Convertible Preferred Stock, par value $0.0001 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value $0.0001 per share (the "Common Stock") and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants and certain other shares of Common Stock, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Investor Rights Agreement, on ____________ ___, 2004, the Company filed a Registration Statement on Form SB-2 (File No. 333______________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME RIGHTS AGREEMENT EXHIBIT D FORM OF EFFECTIVENESS] on [ENTER DATE LOCK-UP AGREEMENT EXHIBIT E FORM OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES ESCROW AGREEMENT EXHIBIT F FORM OF HOLDERS]OPINION OF COUNSEL
Appears in 1 contract
Purchasers. NAME AND ADDRESS --------------------------------- Asset Managers International Lmtd cTOTAL TOTAL NUMBER OF PURCHASE WARRANTS --------- -------------------------------------------------------------- ---------------------- ---------------------- 1. Daryl W. Alsop & Amal M. Xxxxx $15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 2. Gregory V. Peay $25,000.00 25,000 (Bradsby Group) --------- -------------------------------------------------------------- ---------------------- ---------------------- 3. Stanton R. Camp $15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 4. Dawn A. Correll $20,000.00 20,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 5. The Cox Family Trust, Edwarx X. Cox, Trustee $20,000.00 20,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 6. Michael J. Duffy $15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 7. Alex Groswird, Sr. $18,000.00 18,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 8. W. Hagerty $15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 9. Robert G. Logan & Victoxxx X. Xxxxx $15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 10. Todd R. Van de Putte $16,000.00 16,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 11. Joel S. & Elizabeth M. Xxxxxxxin XXXX Xxxxxxxxx Xxxxxx Trust $05,000.00 25,000 U/o Vision Capital Advisors AttnA DTD 10/02/90 --------- -------------------------------------------------------------- ---------------------- ---------------------- 12. Kid Gro-Co, LLC $15,000.00 15,000 Darrel Whitehead --------- -------------------------------------------------------------- ---------------------- ---------------------- 13. National Investor Services Corp. FBO: Jordan Fraser 954 3rd Avenue$16,000.00 16,000 Anthony M. Ottombrino Axxx.#000-00000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 14. National Investor Services Corp. FBO: $15,000.00 15,000 James W. Rury Acct.#499-00000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 15. Stanley A. Worthley $15,000.00 15,000 Charles Schwab & Co., Suite 402 New YorkIxx. Xxxtxxxxx Acct.#7198-4413 --------- -------------------------------------------------------------- ---------------------- ---------------------- 16. Kevin Lively $30,000.00 30,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 17. Alex Groswird $35,862.02 35,862 --------- -------------------------------------------------------------- ---------------------- ---------------------- 18. Tim Robertson $20,075.56 20,075 --------- -------------------------------------------------------------- ---------------------- ---------------------- 19. Jeffrey H. Reeves $25,000.00 25,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 20. Ralph C. Wintrode Trust XXX Xxx 0, NY 10022 London0000 $37,500.00 37,500 Ralph C. Wintrode, Exxxxxx XxxTrusxxx --------- -------------------------------------------------------------- ---------------------- ---------------------- 21. Craig H. Millet $25,000.00 25,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 22. Sterling Trust Company, Custodian FBO: 010Ralph Charles 00,000.00 37,500 Wintrode #092369 --------- -------------------------------------------------------------- ---------------------- ---------------------- 23. Adler Family Trust DTD 0/0/0000 Marty Adler, Trustee, 15,000.00 15,000 Michele Adler, Trustee --------- -------------------------------------------------------------- ---------------------- ---------------------- 24. Loewen Family Trust, Roxxxx X. Loewen, Trustxx 50,000.00 50,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 25. The Cox Family Trust, Edwarx X. Cox, Trustee 50,000.00 50,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 26. Jacob Angrest 30,000.00 30,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 27. James T. Mattson, Jr. 40,000.00 40,000 --------- -------------------------------------------------------------- ---------------------- ---------------------- 28. James R. Flickinger Truxx XXX 00/0/0000 Xxmes R. Flickinger, 00,000.00 15,000 Trustee --------- -------------------------------------------------------------- ---------------------- --------------------- 29. Joseph A. Quilici 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 30. Richard J. Lane or Kathxxxxx X. Xxxx 36,000.00 36,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 31. David Hadley 7,500.00 7,500 --------- -------------------------------------------------------------- ---------------------- --------------------- 32. F. Patricia Cullen 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 33. Benjamin F. Greenwood 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 34. Martin Bentley 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 35. Nicholas Chacos II 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 36. Gunnar Gooding 25,000.00 25,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 37. Robert Swenson 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 38. Vincent de Philippis 75,000.00 75,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 39. Dieter-000Heinz Kijora 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 40. Heinz & Ilse Gietz 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 41. Daniel Andreson 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 42. Mark A. Rock 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 43. Aura R. Fechter 11,000.00 11,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 44. Lars Olson 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 45. Michael Winslow 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 46. Minh Vu 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 47. Andrew Sazama 58,125.00 58,125 --------- -------------------------------------------------------------- ---------------------- --------------------- 48. Nick Dinneen 50,000.00 50,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 49. Ngoc-0000 Xxx: 000-000-0000 Xxxxxx@xxxxxxx.com --------------------------------- Gix Xxxxxx 0000 Loan Khoa Ngyen 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 50. Charles Kwon 50,000.00 50,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 51. Extenprise/ Arvind Pandey 70,619.00 70,619 --------- -------------------------------------------------------------- ---------------------- --------------------- 52. Paul Gustafson 20,000.00 20,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 53. Michael M. Moore 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 54. Joseph Moisant & Melissx Xxxxxxx 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 55. Regan J. Patrick 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 56. Robert G. Logan & Victoxxx X. Xxxxx Xxxxxx Xxxxon Grove15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 57. Robert G. Metzger II 7,500.00 7,500 --------- -------------------------------------------------------------- ---------------------- --------------------- 58. Sidney E. Levine 25,000.00 25,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 59. Glen S. Davis 25,000.00 25,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 60. Dennis R. Johnson 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 61. Chris & Suzie Cole Livixx Xxust XXX 0/00/2000, IL 60053 Tel: 312-474-4370 Xxxxxxx 000-000-6129 Evening Fax: 312-356-7020 axxxxx@xxxxxxring.com --------------------------------- Xxxxxxxxx XaxxxxxxChristopher 20,000.00 25,000 ----------------------------------------------------------- A. Cole Trustee --------- -------------------------------------------------------------- ---------------------- --------------------- 62. Quang H. Vu & Jacquelinx X. Xx 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 63. Craig F. Gross & Elizabxxx X. Xxxxx 20,000.00 20,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 64. David R. Moyer, XXX x/x X. Xxuglas Ralston 701 Harger Road, Suite 190 Oak Brook, IL 60523 Tel: 000-000-0000 Xxx: 000-000-0000 jralston@cone.com --------------------------------- Joex Xxxxxxxx 080 Xxxxxx Xx. Xxxxcoe, IL 60022 Tel: 847-835-5588 Fax: X/X xxxxxxxsxxxx@xxx.xxx --------------------------------- Xxxstview Capxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0000 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxxxxxxw Xxxxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0060 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxa Xxxxxxxx 000 Xxxxxxxxxx Lane Highland Park, IL 60035 Tel: 847-400-0000 Xxx: 800-000-0000 Xxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxxxx & Xxxxxxxx Xxxxx x/x Xxxxart Flink 170 Crestview Deerfield, XX 00005 Txx: 000-000-0085 Fax: 000-000-0070 xxxxxxx@xxxxxxxxx.xxx --------------------------------- Trustee Xxxxx X. Xxoxxx 000 Xxxxxxx Xxxx Lake ForestXxxxr, IL 60045 Tel: 847DDS, A Xxxxxxxxxxxx 25,000.00 25,000 Corp. Employees' Profit Sharing Plan & Trust --------- -------------------------------------------------------------- ---------------------- --------------------- 65. Samuel H. Moyer, Trustex xx xxx Xxxxxxong Marketing, Inx. 25,000.00 25,000 Profit Sharing Plan & Trust --------- -------------------------------------------------------------- ---------------------- --------------------- 66. Gary Moyer, Trustee of xxx Xxx-615-0000 Xxx: 000-010-0000 xxxxxxx000@xxx.xxx --------------------------------- GLX Xxxxxx Xxxaxxxx, X.X. x/x X. Stephen Gilboy GLL Investors Inc. 425 West Surf Street Chicago, IL 60000 Xxx: 000-525-3038 Fax: 773-520-0000 xxxxxxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxex X. Xxxxxxx 00 Xxxxxx Xxxxx, Suite A Northbrook, IL 60062 Tel: 000-000-0000 Xxx: 000-000-0000 steven@crestviewcap.com --------------------------------- Xxxxx Xxxixxx, XXX x/x Xxxxxxx Xxvy 95 Revere Drive, Suite A Northbrook, IL 60062 Tel: 847-000-0000 Xxx: 000-000-0000 Richard@crestviewcap.com --------------------------------- Xxxxxxx P. Xxxxxxx x/x Xxxxxxx Xxair & Co. 222 W. Adams Street Chicaxx, XX 00000 Xxx: 213-300-0000 Xxx: 312-368-0000 xxxxxxxx@williamblair.com --------------------------------- Lachman Family Limited Partnership Attn: Mary Lachman 3140 Whisperwoxxx Xxxrt Northbrook, IL 60062 Tel: 847-500-0000 Xxx: 000-000-0000 xxxx@xxxxxxx.xxx --------------------------------- Josexx Xxxx Xx. Dxxxxxxxxxx xx Xxust, UAD May 1, 1986 3340 W. Main Sxxxxx Xxxxxe, Il 60076 Tel: 847-933-1197 Fax: 847-933-0000 --------------------------------- Nanxx Xxxx Xxxxcable Xxxxx 00 X. Howe Street Chicago, IL 60614 --------------------------------- Xxxx Xxxxxxx as custodian for Nathan A. Low Roth IRA c/o Sunrise Securitixx Xxxx. Attn: Nathan Low 00xx Xxxor 640 Xxxxxxton Avenue New York, N.Y. 10022 Tel: 000-021-1616 Fax: 212-000-0000 Xxxxxx@xxxxxxxxxxx.xxx --------------------------------- Xxxxx Xxxxd Xxxxxx Xxxx XXX x/x Xorth Sound Capital LLC Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- North Sound Legacy Institutional Fund LLC c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- Xxxxx Sound Xxxxxx Xxxxxxxxional Ltd c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- XXX Xaster Fxxx Xxx x/x Xxxk Hill Investment Management, L.P 3 Bala Plaza East, Suite 585 Bala Cynwyd, PA 19004 Tel: 610-949-9700 Xxx: 000-000-0000 xxxxxxxx@xxxxxxxxxxxxx.xxx --------------------------------- Xxxxxx X. Xxxxxxx 000 Xxxxx Xxxx Winnetka, Il 60093 Tel: 847-920-1360 Xxx: 000-000-0080 xxxxxxxx@xxxxxxx.xxx EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf Xxust 1 of the selling security holders2003 Moyer 5,000.00 5,000 Family Trust DTD 02/19/2003 --------- -------------------------------------------------------------- ---------------------- --------------------- 67. Sales of shares may be made by selling security holdersCarole Bradford 26,000.00 26,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 68. Brigitte G. Byrd 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 69. John Reitz 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 70. Stephen H. and Barbara X. Xxxxxxxn Truxxxxx xx xxx Xxxxxxnn 100,000.00 100,000 Family 2004 Revocable Trust --------- -------------------------------------------------------------- ---------------------- --------------------- 71. Ferdynand J. Zdyb 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 72. Richard D. Walker 20,000.00 20,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 73. Donald R. Craighead 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 74. Jeff Kone & Cezanne Konx XX XXXX 33,000.00 33,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 75. David R. Morgan 100,000.00 100,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 76. Paul H. Schaaf Trustee Xxxxxx Xxxxxx Trust DTD 00/00/73 AMD 15,000.00 15,000 06/25/2003 --------- -------------------------------------------------------------- ---------------------- --------------------- 77. Paul Colombe 20,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 78. Thomas E. Szulist 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 79. Kim R. Salzwedel 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 80. Paul Chacon 5,000.00 5,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 81. Wayne M. Hamersly 15,000.00 15,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 82. Gary Sportsman & Sally Xxxxtsman 50,000.00 50,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 83. Wall Street Capital Partners, including their respective doneesLP (Jeff Kone) 150,000.00 150,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 84. Eric Anderson 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 85. Roaring Fork Capital SBIC, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agentsL.P. 1,000,000.00 1,000,000 --------- -------------------------------------------------------------- ---------------------- --------------------- 86. Sales may be made from time to time on the OTC Bulletin Board or any exchange upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. Harold Zagunis 10,000.00 10,000 --------- -------------------------------------------------------------- ---------------------- --------------------- EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re: National Coal Corp. Dear [______]: We are counsel to National Coal Corp., a Florida corporation (the "Company"), and have represented the Company in connection with that certain Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of August 31, 2004 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series A Cumulative Convertible Preferred Stock, par value $0.0001 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value $0.0001 per share (the "Common Stock") and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants and certain other shares of Common Stock, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Investor Rights Agreement, on ____________ ___, 2004, the Company filed a Registration Statement on Form SB-2 (File No. 333______________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES OF HOLDERS]UNSECURED CONVERTIBLE PROMISSORY NOTE EXHIBIT C WARRANT EXHIBIT D
Appears in 1 contract
Samples: Convertible Note Purchase Agreement (Cistera Networks, Inc.)
Purchasers. NAME AND ADDRESS --------------------------------- Asset Managers Print Exact Name: Xxxxx International Lmtd Ltd. Inc. By: /s/ Xxxxxx Xxxxx Name: Xxxxxx Xxxxx Title: Director SCHEDULE 1 PURCHASERS Name and Address Copy of Notice to: East Xxxxxx Inc. (BVI) c/o Vision Capital Advisors Conus Partners, Inc. 0 Xxxxxxxxxxx Xxxxx 00xx Xxxxx Xxx Xxxx, XX 00000 Attn: Jordan Fraser 954 3rd Avenue, Suite 402 New York, NY 10022 London, Exxxxxx Xxx: 010-000-0000 Xxx: 000-000-0000 Xxxxxx@xxxxxxx.com --------------------------------- Gix Xxxxxx 0000 Xxxxx Xxxxxx Xxxxon Grove, IL 60053 Tel: 312-474-4370 Xxxxxxx 000-000-6129 Evening Fax: 312-356-7020 axxxxx@xxxxxxring.com --------------------------------- Xxxxxxxxx Xaxxxxxx, XXX x/x X. Xxuglas Ralston 701 Harger Road, Suite 190 Oak Brook, IL 60523 Tel: 000-000-0000 XxxFax: 000-000-0000 jralston@cone.com --------------------------------- Joex Xxxxxxxx 080 Xxxxxx Xx. Xxxxcoe, IL 60022 Tel: 847-835-5588 Fax: X/X xxxxxxxsxxxx@xxx.xxx --------------------------------- Xxxstview Capxxxx Xxxxxx XXX xx@xxxxxxxxx.xxx The Conus Fund L.P. 0 Xxxxxxxxxxx Xxxxx 00xx Xxxxx Xxx Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0000 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxxxxxxw Xxxxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0060 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxa Xxxxxxxx 000 Xxxxxxxxxx Lane Highland Park, IL 60035 Tel: 847-400-0000 Xxx: 800-000-0000 Xxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxxxx & Xxxxxxxx Xxxxx x/x Xxxxart Flink 170 Crestview Deerfield, XX 00005 Txx00000 Attn: 000-000-0085 Fax: 000-000-0070 xxxxxxx@xxxxxxxxx.xxx --------------------------------- Xxxxxx Xxxxx X. Xxoxxx 000 Xxxxxxx Xxxx Lake Forest, IL 60045 Tel: 847-615-0000 Xxx: 000-010-0000 xxxxxxx000@xxx.xxx --------------------------------- GLX Xxxxxx Xxxaxxxx, X.X. x/x X. Stephen Gilboy GLL Investors Inc. 425 West Surf Street Chicago, IL 60000 Xxx: 000-525-3038 Fax: 773-520-0000 xxxxxxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxex X. Xxxxxxx 00 Xxxxxx Xxxxx, Suite A Northbrook, IL 60062 Tel: 000-000-0000 XxxFax: 000-000-0000 steven@crestviewcap.com --------------------------------- xx@xxxxxxxxx.xxx The Conus Fund Offshore Ltd. c/o Conus Partners, Inc. 0 Xxxxxxxxxxx Xxxxx, 00xx Xxxxx XxxixxxXxx Xxxx, XXX x/x Xxxxxxx Xxvy 95 Revere Drive, Suite A Northbrook, IL 60062 XX 00000 Attn: Xxxxxx Xxxxx Tel: 847-000-0000 Xxx: 000-000-0000 Richard@crestviewcap.com --------------------------------- Xxxxxxx P. Xxxxxxx x/x Xxxxxxx Xxair & Co. 222 W. Adams Street Chicaxx, XX 00000 Xxx: 213-300-0000 Xxx: 312-368-0000 xxxxxxxx@williamblair.com --------------------------------- Lachman Family Limited Partnership Attn: Mary Lachman 3140 Whisperwoxxx Xxxrt Northbrook, IL 60062 Tel: 847-500-0000 XxxFax: 000-000-0000 xxxx@xxxxxxx.xxx --------------------------------- Josexx Xxxx Xx. Dxxxxxxxxxx xx Xxustxx@xxxxxxxxx.xxx The Conus Fund QP, UAD May 1L.P. 0 Xxxxxxxxxxx Xxxxx 00xx Xxxxx Xxx Xxxx, 1986 3340 W. Main Sxxxxx Xxxxxe, Il 60076 Tel: 847-933-1197 Fax: 847-933-0000 --------------------------------- Nanxx Xxxx Xxxxcable Xxxxx 00 X. Howe Street Chicago, IL 60614 --------------------------------- Xxxx Xxxxxxx as custodian for Nathan A. Low Roth IRA c/o Sunrise Securitixx Xxxx. XX 00000 Attn: Nathan Low 00xx Xxxor 640 Xxxxxxton Avenue New York, N.Y. 10022 Xxxxxx Xxxxx Tel: 000-021-1616 Fax: 212-000-0000 Xxxxxx@xxxxxxxxxxx.xxx --------------------------------- Xxxxx Xxxxd Xxxxxx Xxxx XXX x/x Xorth Sound Capital LLC Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 XxxFax: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy xx@xxxxxxxxx.xxx Kinetic Capital Limited Partnership 0000-000 Xxxxxx Xxxxxx Xxxxxxxxx, X.X. X0X 0X0 Attn: Xxxxxx Xxxx Tel: 000-000-0000 Fax: 000-000-0000 xxxxxx@xxxxxxxxxxxxxxxxxxxxxx.xxx xxxxx@xxxxxxxxxxxxxxxxxxxxxx.xxx Name and Address Copy of Notice to: JR Xxx Public Investments, LLC X.X. Xxx 0000 Xxxxxxxxx, XX 00000 Attn: Xxxxxxx X. Xxx Tel: 000-000-0000 Fax: 203-552-1724 xxxx@xxxx.xxx RAM Capital Group, LLC 0000 Xxxxxxxxx Xxxx Xxxxxxx, XX 00000 Attn: Xxxx X. Xxxxxxxx Tel: 000-000-0000 Fax: 000-000-0000 xxxxxxxxx@xxx-xxx.xxx Park Place Columbia Ltd. Xxxxxxxx Xxxx 00 Xxxx Xxxxxx xxx Dana XXX Xxxxxxxx HM12 Bermuda Attn: Xxxxx Xxxxxxx Tel: 000-00-00-0000-0000 Fax: 011-44-20-7629-2439 Xxxxx.xxxxxxx@xxxxxxxxx.xx.xx Park Place Galileo Ltd. Xxxxxxxx Xxxx 00 Xxxx Xxxxxx Xxxxxxxx HM12 Bermuda Attn: Xxxxx Xxxxxxx Tel: 000-00-00-0000-0000 Fax: 011-44-20-7629-2439 Xxxxx.xxxxxxx@xxxxxxxxx.xx.xx Aran Asset Management SA Xxxxxxxxxxxx 00 X.X. Xxx 0000 XX-0000 Xxx Xxxxxxxxxxx Tel: 000-00-00-000-0000 Fax: 011-41-41-726-0477 xxxxxxxxxxx@xxxxxx.xx Finter Bank Zurich Xxxxxxxxxxxxxxx 00 XX-0000 Xxxxxx Xxxxxxxxxxx Attn: Xxxxxxxxx Xxxxxxxxxxxx Tel: 000-00-0000-0000 Fax: 000-00-0000-0000 x.xxxxxxxxxxxx@xxxxxx.xx 63 Name and Address Copy of Notice to: Xxxxxxx Xxxxxx 0000 00xx Xxxxxx Xxxx Xxxxxxxxx, X.X. X0X 0X0 Tel: 000-000-0000 Fax: 000-000-0000 xxxxxxx@xxxxxxx.xxx Registration: Xxxxxxx Securities ITF Xxxxxxx Xxxxxx 000 Xxxxnxxx Xxxxxxx Xxxxxx 00xx Xxxxx Xxxxxxxxx, X.X. X0X 0X0 Glenariff Investments Ltd 0000 00xx Xxxxxx Xxxxxx, X.X. X0X 0X0 Attn: Xxxxxx X. Xxxxxxxxx Tel: 000-000-0000 Fax: 000-000-0000 xxx@xxxx.xx Registration: Xxxxxxx Securities ITF Glenariff Investments Ltd 000 Xxxxxxx Xxxxxx 00xx Xxxxx Xxxxxxxxx, X.X. X0X 0X0 Xxxxx Xxxx Xxxxxxxx 0000 Xxxxxxxx Xxxxxx Xxxx Xxxxxxxxx, X.X. X0X 0X0 Tel: 000-000-0000 Fax: 604-925-1948 xxxxxxxx@xxxxx.xxx Registration: Xxxxxxx Securities ITF Xxxxx Xxxx Xxxxxxxx 000 Xxxxxxx Xxxxxx 00xx Xxxxx Xxxxxxxxx, X.X. X0X 0X0 Xxxx Xxxxxxxxxxx 000-0000 Xxxxxxx Xxxxxx Xxxxxxxxx, X.X. X0X 0X0 Tel: 000-000-0000 Fax: 000-000-0000 xxxxxxxx@xxxxx.xxx Name and Address Copy of Notice to: Catalyst Capital LLC 0000 Xxxxxxxxx Xxxxx XxXxxxx, XX 00000 Attn: Xxxxx Xxxxx Tel: 000-000-0000 Fax: 000-000-0000 xxxxxx@xxxxxxxxxxx.xxx Xxxxx Xxxxx 0000 Xxxxxxxx Xxxxxxxxx, X.X. X0X 0X0 Tel: 000-000-0000 Fax: 000-000-0000 xxxxxx@xxxxx.xxx Northern Rivers Innovation Fund LP Royal Bank Plaza, South Tower 0000-000 Xxx Xxxxxx Xxxxxxx, Xxxxxxx X0X 0X0 Attn: Xxxx Xxxxxxx Tel: 000-000-0000 Fax: 000-000-0000 xx@xxxxxxxxxxxxxxxxxxx.xxx Registration: Xxxxxxx Xxxxx ITF Account 000 000 0000 Prime Broker Services 00xx Xxxxx 0xx Xxxxxxxx Xxxxx Xxxxxxx, Xxxxxxx X0X 0X0 B.C. Equities Inc. 000-0000 Xxxxxx Xxx Xxxxxxx, X.X. X0X 0X0 Attn: Xxx Xxx Tel: 000-000-0000 Fax: 000-000-0000 xxxx@xxxx.xxx Otape Investments LLC Xxx Xxxxxxxxxxxxxx Xxxx Xxxxxxxx, XX 00000 Attn: Xxxx Xxxxxxx Tel: 000-000-0000 Fax: 000-000-0000 Xxxx.Xxxxxxx@xx.xxx Name and Address Copy of Notice to: SCO Capital Partners LLC 1285 Avenue of the Xxxxxxxx, 00xx Xxxxx Xxx Xxxx, XX 00000 Attn: Xxxxxx Xxxxxxxxx Tel: 000-000-0000 Fax: 000-000-0000 xxxxxxxxxx@xxxxxxxx.xxx Xxxxxx & Xxxx LLP 000 Xxxxxxxx Xxxxxx Xxxxxxxx, CT 06901 TelephoneXX 00000 Attn: (Xxxxxxx Xxxxxxx Tel: 000) 363-0000 Facxxxxxx: (000) 000-0000 Tel: 000-000-0000 xxxxxxxx@xxxxxx.xxx The Xxxxx X. Xxxxxxxxx Trust 1285 Avenue of the Xxxxxxxx, 00xx Xxxxx Xxx Xxxx, XX 00000 Attn: Xxxxxx Xxxxxxxxx, Trustee Tel: 000-000-0000 Fax: 000-000-0000 xxxxxxxxxx@xxxxxxxx.xxx The Xxxxxx X. Xxxxxxxxx Trust 1285 Avenue of the Xxxxxxxx, 00xx Xxxxx Xxx Xxxx, XX 00000 Attn: Xxxxxx Xxxxxxxxx, Trustee Tel: 000-000-0000 Fax: 000-000-0000 xxxxxxxxxx@xxxxxxxx.xxx The Xxxxxx X. Xxxxxxxxx 1999 Family Trust 0000 Xxxxxx xx xxx Xxxxxxxx, 00xx Xxxxx Xxx Xxxx, XX 00000 Attn: Xxxx X. Xxxxxxxxxxxx, Trustee Tel: 000-000-0000 Fax: 000-000-0000 SDS Merchant Fund, LP 00 Xxxxxx Xxxxxx, 0xx Xxxxx Xxx Xxxxxxxxx, XX 00000 Attn: Xxxxx Xxxxx Tel: 000-000-0000 Fax: 000-000-0000 xxxxx@xxxxxxxxxx.xxx BayStar Capital II, L.P. 00 X. Xxx Xxxxxxx GrundeiXxxxx Boulevard Suite 2B Larkspur, Esq. --------------------------------- CA 94939 Attn: Xxxxxx X. XxXxx Tel: 000-000-0000 Fax: 000-000-0000 xxxxxx@xxxxxxxxxxxxxx.xxx Name and Address Copy of Notice to: North Sound Legacy Fund LLC 00 Xxxxxx Xxxxxx, Xxxxx 000 Xxx Xxxxxxxxx, XX 00000 Attn: Xxxxxx Xxxxxx Tel: 000-000-0000 Fax: 000-000-0000 xxxxxx@xxxxxxxxxx.xxx North Sound Legacy International Ltd. 00 Xxxxxx Xxxxxx, Xxxxx 000 Xxx Xxxxxxxxx, XX 00000 Attn: Xxxxxx Xxxxxx Tel: 000-000-0000 Fax: 000-000-0000 xxxxxx@xxxxxxxxxx.xxx North Sound Legacy Institutional Fund LLC c/o North Sound Capital 00 Xxxxxx Xxxxxx, Xxxxx 000 Xxx Xxxxxxxxx, XX 00000 Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 TxxXxxxxx Xxxxxx Tel: 000-000-0000 XxxFax: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX xxxxxx@xxxxxxxxxx.xxx ProMed Partners, L.P. 000 Xxxxnxxx Xxxxxx XxxxxxxxXxxx Xxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 0xx Xxxxx Xxx Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- Xxxxx Sound Xxxxxx Xxxxxxxxional Ltd c/o North Sound Capital XX 00000 Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 TxxXxxxx Xxxxxxxx Tel: 000-000-0000 XxxFax: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy toxxxxxxxxx@xxxxxxxxxx.xxx ProMed Offshore Fund, Ltd. 000 Xxxx Xxxxxx, 0xx Xxxxx Xxx Xxxx, XX 00000 Attn: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- XXX Xaster Fxxx Xxx x/x Xxxk Hill Investment Management, L.P 3 Bala Plaza East, Suite 585 Bala Cynwyd, PA 19004 Xxxxx Xxxxxxxx Tel: 610-949-9700 Xxx: 000-000-0000 xxxxxxxx@xxxxxxxxxxxxx.xxx --------------------------------- Xxxxxx X. Xxxxxxx 000 Xxxxx Xxxx Winnetka, Il 60093 Tel: 847-920-1360 XxxFax: 000-000-0080 xxxxxxxx@xxxxxxx.xxx 0000 xxxxxxxxx@xxxxxxxxxx.xxx Xmark Fund, Ltd. 000 Xxxx 00xx Xxxxxx, 00xx Xxxxx Xxx Xxxx, XX 00000 Attn: Xxxxxxxx Xxxx Tel: 000-000-0000 Fax: 212-247-1329 XXxxx@xxxxxxxxxx.xxx Xxxxxxxxxx Xxxxxxx PC 00 Xxxxxxxxxx Xxxxxx Roseland, NJ 07068 Attn: Xxxxxx X. Xxxxxxx Tel: 000-000-0000 Fax: 000-000-0000 xxxxxxxx@xxxxxxxxxx.xxx Name and Address Copy of Notice to: Xmark Fund, L.P. 000 Xxxx 00xx Xxxxxx, 00xx Xxxxx Xxx Xxxx, XX 00000 Attn: Xxxxxxxx Xxxx Tel: 000-000-0000 Fax: 212-247-1329 XXxxx@xxxxxxxxxx.xxx Xxxxxxxxxx Xxxxxxx PC 00 Xxxxxxxxxx Xxxxxx Roseland, NJ 07068 Attn: Xxxxxx X. Xxxxxxx Tel: 000-000-0000 Fax: 000-000-0000 xxxxxxxx@xxxxxxxxxx.xxx Xxxx Xxxxxxxx 000 Xxxx 00xx Xxxxxx Xxx. 0-X Xxx Xxxx, XX 00000 Tel: 000-000-0000 Fax: xxxxxxxxx@xxx.xxx Xxxxxxx X. Xxxx 00 Xxxxxxxxx Xxxxx Xxxxx Xxxxx, XX 00000 Tel: 000-000-0000 Fax: 000-000-0000 xxxxx@xxxxxxxxx.xxx Xxxx X. Xxxxxxx 000 Xxxxx Xxxxxx Xxxxxxxxxx, XX 00000 Tel: 000-000-0000 Fax: xxxxxxxx@xx.xxxxxx.xxx Crescent International Ltd x/x XxxxxXxxxx (Xxxxxxxxxxx) X.X. 00, xx. Xxxxx-Xxxxx X.X. Xxx 000 XX-0000 Xxxxxxxx, Xxxxxx Xxxxxxxxxxx Attn: Maxi Brezzi Tel: 000-00-00-000-0000 Fax: 011-41-22-929-5394 xxxx@xxxxxxxxxx.xxxxxxxx.xxx Xxxxx Xxxxxx 000 Xxxx Xxxxxx Xxx Xxxx, XX 00000 Tel: 000-000-0000 Fax: 000-000-0000 Xxxxxxx X. Pilot 000 Xxxx 00xx Xxxxxx, Xxx. 00X Xxx Xxxx, XX 00000 Tel: 000-000-0000 Fax: 000-000-0000 Xxx-Xxxxx@xxxxx.xxx Name and Address Copy of Notice to: QFinance, Inc. 0000 Xxxxxxxxxx Xxxxx, Xxxxx 000 Xxxxxx, XX 00000 Attn: Xxx Xxxxxxx Tel: 000-000-0000 Fax: 000-000-0000 Xxx.xxxxxxx@xxxxxxxxx.xxx Xxxxx International Ltd. Inc. 53rd Street, Urbanization Obarrio Swiss Tower, 16th Floor Panama Republic of Panama Attn: Xxxxxx Xxxxx Tel: 000-000-0000 Fax: 000-000-0000 Gamma Opportunity Capital Partners, LP British Colonial Centre of Commerce Xxx Xxx Xxxxxx, Xxxxx 000 Xxxxxx, The Bahamas Attn: Xxxxxxxxxxx Xxxxxxx Tel: 000-000-0000 Fax: 000-000-0000 SCO Securities LLC 0000 Xxxxxx xx xxx Xxxxxxxx, 00xx Xxxxx Xxx Xxxx, XX 00000 Attn: Xxxxxx Xxxxxxxxx Tel: 000-000-0000 Fax: 000-000-0000 xxxxxxxxxx@xxxxxxxx.xxx Xxxxxx & Xxxx LLP 000 Xxxxxxxx Xxxxxx Xxxxxxxx, XX 00000 Attn: Xxxxxxx Xxxxxxx Tel: 000-000-0000 Tel: 000-000-0000 xxxxxxxx@xxxxxx.xxx EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the OTC Bulletin Board or American Stock Exchange, any other exchange upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - • a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - • purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - • ordinary brokerage transactions and transactions in which the broker solicits purchases; - • through options, swaps or derivatives; - • in privately negotiated transactions; - • in making short sales or in transactions to cover short sales; and - • put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "“underwriters" ” within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - • the name of each such selling security holder and of the participating broker-dealer(s); - • the number of shares involved; - • the initial price at which the shares were sold; - • the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - • that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - • other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re: National Coal Corp. Genetronics Biomedical Corporation Dear [______[ ]: We are counsel to National Coal Corp.Genetronics Biomedical Corporation, a Florida Delaware corporation (the "“Company"”), and have represented the Company in connection with that certain Preferred Stock and Warrant Purchase Agreement (the "“Purchase Agreement"”) dated as of August 31, 2004 2003 by and among the Company and the buyers named therein (collectively, the "“Holders"”) pursuant to which the Company issued to the Holders its Series A Cumulative Convertible Preferred Stock, par value $0.0001 0.001 per share, (the "share and Series B Cumulative Convertible Preferred Stock", par value $0.001 per share (collectively, the “Preferred Stock”) convertible into shares of the Company's ’s common stock, par value $0.0001 0.001 per share (the "“Common Stock") ”), and warrants to purchase shares of the Common Stock (the "“Warrants"”). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "“Investor Rights Agreement"”) pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants and certain other shares of Common StockWarrants, under the Securities Act of 1933, as amended (the "“1933 Act"”). In connection with the Company's ’s obligations under the Investor Rights Agreement, on ____________ ___, 20042003, the Company filed a Registration Statement on Form SB-2 S-3 (File No. 333______________333- ) (the "“Registration Statement"”) with the Securities and Exchange Commission (the "“SEC"”) relating to the Registrable Securities which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's ’s staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's ’s staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ : cc: [LIST NAMES OF HOLDERS]
Appears in 1 contract
Samples: Investor Rights Agreement (Genetronics Biomedical Corp)
Purchasers. NAME AND ADDRESS --------------------------------- Asset Managers International Lmtd c/o Vision ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- SCO Capital Advisors AttnPartners LLC Wiggin and Dana LLP 1285 Avenue of the Americas 400 Xxxxxxic Stxxxx 35th Floor Stamxxxx, XX 00000 Xxx Xxxx, Xxx Xxxx 00000 Xxxxxxxxx: Jordan Fraser 954 3rd Avenue, Suite 402 New York, NY 10022 London, Exxxxxx Xxx(000) 000-0030 Xxxx: 010Xxxxxx X. Xxxxxxdeh Facsimile: (000) 000-0676 T: (000) 000-0000 XxxAttn: Micxxxx Xxxxxxx, Esq. X: (000) 000-4058 ----------------------------------- ------------------------------------- Lake End Capital LLC 33 Tall Oaks Drive Summit, New Jersey 07501 Attn: Jeffrey B. Davis T: (000) 000-0000 Xxxxxx@xxxxxxx.com --------------------------------- Gix Xxxxxx 0000 Xxxxx Xxxxxx Xxxxon Grove, IL 60053 TelX: 312-474-4370 Xxxxxxx (000) 000-0000000 ----------------------------------- -------------------------------------- Alpha Capital AG Pradafant 7 Furstentums 9490 Vaduz Liechtenstein Telephone: 011-6129 Evening Fax: 312-356-7020 axxxxx@xxxxxxring.com --------------------------------- Xxxxxxxxx Xaxxxxxx, XXX x/x X. Xxuglas Ralston 701 Harger Road, Suite 190 Oak Brook, IL 60523 Tel: 000-000-0000 Xxx: 000-000-000-0000 jralston@cone.com --------------------------------- Joex Xxxxxxxx 080 Xxxxxx Xx. Xxxxcoe, IL 60022 TelXxxxxxx: 847X. Xxsch ----------------------------------- ------------------------------------- BF Holding GmbH AM Eulenhof 14 95326 Kulmbach Germany Telephone: 49-835-5588 Fax: X/X xxxxxxxsxxxx@xxx.xxx --------------------------------- Xxxstview Capxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 0009200-000-0000 00 Xxx: 00000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxxxxxxw Xxxxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 0000000-000-0060 Xxx00 Xxxxxxx: 000Xxxxx Xxxrtsch e-559-5807 stewart@crestviewcap.com --------------------------------- Xxxa Xxxxxxxx 000 Xxxxxxxxxx Lane Highland Parkmail: x.xxxxxxx@xxm-ag.de ----------------------------------- ------------------------------------- Beach Capital LLC 1285 Avenue of the Americas, IL 60035 Tel: 847-400-0000 Xxx: 800-000-0000 Xxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxxxx & Xxxxxxxx Xxxxx x/x Xxxxart Flink 170 Crestview Deerfield, XX 00005 Txx: 000-000-0085 Fax: 000-000-0070 xxxxxxx@xxxxxxxxx.xxx --------------------------------- Xxxxx X. Xxoxxx 000 Xxxxxxx Xxxx Lake Forest, IL 60045 Tel: 847-615-0000 Xxx: 000-010-0000 xxxxxxx000@xxx.xxx --------------------------------- GLX Xxxxxx Xxxaxxxx, X.X. x/x X. Stephen Gilboy GLL Investors Inc. 425 West Surf Street Chicago, IL 60000 Xxx: 000-525-3038 Fax: 773-520-0000 xxxxxxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxex X. Xxxxxxx 00 Xxxxxx Xxxxx, Suite A Northbrook, IL 60062 Tel: 000-000-0000 Xxx: 000-000-0000 steven@crestviewcap.com --------------------------------- Xxxxx Xxxixxx, XXX x/x Xxxxxxx Xxvy 95 Revere Drive, Suite A Northbrook, IL 60062 Tel: 847-000-0000 Xxx: 000-000-0000 Richard@crestviewcap.com --------------------------------- Xxxxxxx P. Xxxxxxx x/x Xxxxxxx Xxair & Co. 222 W. Adams Street Chicaxx, XX 00000 Xxx: 213-300-0000 Xxx: 312-368-0000 xxxxxxxx@williamblair.com --------------------------------- Lachman Family Limited Partnership Attn: Mary Lachman 3140 Whisperwoxxx Xxxrt Northbrook, IL 60062 Tel: 847-500-0000 Xxx: 000-000-0000 xxxx@xxxxxxx.xxx --------------------------------- Josexx Xxxx Xx. Dxxxxxxxxxx xx Xxust, UAD May 1, 1986 3340 W. Main Sxxxxx Xxxxxe, Il 60076 Tel: 847-933-1197 Fax: 847-933-0000 --------------------------------- Nanxx Xxxx Xxxxcable Xxxxx 00 X. Howe Street Chicago, IL 60614 --------------------------------- Xxxx Xxxxxxx as custodian for Nathan A. Low Roth IRA c/o Sunrise Securitixx Xxxx. Attn: Nathan Low 00xx Xxxor 640 Xxxxxxton Avenue 35th Floor New York, N.Y. 10022 Tel: 000-021-1616 Fax: 212-000-0000 Xxxxxx@xxxxxxxxxxx.xxx --------------------------------- Xxxxx Xxxxd Xxxxxx Xxxx XXX x/x Xorth Sound Capital LLC Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 FacxxxxxxNY 10019 Telephonx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- North Sound Legacy Institutional Fund LLC c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxxxxxxxxx: Xxxxxxx Grundei, Esq. --------------------------------- Xxxxx Sound Xxxxxx Xxxxxxxxional Ltd c/o North Sound Capital AttnX. Rouhandeh e-xxxx: Thomas McAuley 53 Forest xxxxxxxdeh@scoxxxxx.xxx ----------------------------------- ------------------------------------- 23 ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Catalytix LDC Lifescience Hedge AZ 425 Fifth Avenue, Suite 202 Old Greenwich#28D New York, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 NY 10016 Telephone: (000212) 363481-0000 Facxxxxxx1390 Xxx: (000) 000-0000 XxxxXxxxxxx: Xxxxxxx GrundeiXxx Xxxxxsen ----------------------------------- ------------------------------------- Catalytix LDC 425 Fifth Avenue, Esq. --------------------------------- XXX Xaster Fxxx Xxx x/x Xxxk Hill Investment Management#28D New York, L.P 3 Bala Plaza East, Suite 585 Bala Cynwyd, PA 19004 TelNY 10016 Telephone: 610(212) 481-949-9700 1390 Xxx: (000-) 000-0000 xxxxxxxx@xxxxxxxxxxxxx.xxx --------------------------------- Xxxxxxx: Xxx Xxxxxsen ----------------------------------- ------------------------------------- Hudson Bay Fund LP 120 Broadway, 40th Floor New York, NY 10271 Telexxxxx: (212) 571-1000 Xxx: (000) 000-0000 Xxxxxxx: Xxxx Xxxx ----------------------------------- ------------------------------------- Iroquois Master Fund Ltd. 641 Lexington Avenue, 26th Floor New York, NY 10022 Telephone: (210) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx Xxlverman ----------------------------------- ------------------------------------- Midsouth Investors Fund LP 1776 Peachtree Street NW Suite 412 North Atlanta, GA 30309 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxx X. Heidtke ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Perceptive Life Sciences Master Fund, Ltd. 7284 W. Palmetta Park Road, Suite 306 Boca Raton, FL 33433 Telephonx: (000) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Xxxxxx X. Xxxxxxx 000 Xxxxx Xxxx WinnetkaSankin, Il 60093 TelCOO ----------------------------------- ------------------------------------- Quogue Capital LLC 1285 Avenue of the Americas 35th Floor New York, NY 10019 Telephone: 847-920-1360 Xxx: Xxxxxxx: Xxxxx Xxxxxxxx ----------------------------------- ------------------------------------- SDS Capital Group SPC, Ltd. c/o SDS Management, LLC 53 Old Forest Avenue, 2nd Floor Old Greenwich, CT 06870 Telephone: (000) 000-0000 Xxx: (000) 000-0080 xxxxxxxx@xxxxxxx.xxx 0000 Xxxxxxx: Xxxxx Xxxby, Director ----------------------------------- ------------------------------------- TMW Capital, LLC 48 Route 25A, Suite 305 Smithtown, NY 11787 Telephone: (631) 862-3000 Xxx: (000) 000-0000 Xxxxxxx: Xxxx Xxxxr ----------------------------------- ------------------------------------- ----------------------------------- ------------------------------------- NAME AND ADDRESS: COPY OF NOTICE TO: ---------------- ----------------- ----------------------------------- ------------------------------------- Whalehaven Capital Fund Limited 14 Par-La-Ville Road, 3rd Floor Hamilton HM08 Bermuda Telephone: (400) 000-0000 Xxx: (000) 000-0000 Xxxxxxx: Evan Schemenauer e-maix:xxxxxxxxxxxx@consolxxxxxx.xx ----------------------------------- ------------------------------------- EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the OTC Bulletin Board [__________], any other exchange or any exchange market upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re: National Coal Corp. MacroChem Corporation Dear [______]: We are counsel to National Coal Corp.MacroChem Corporation, a Florida Delaware corporation (the "Company"), and have represented the Company in connection with that certain Amended and Restated Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of August 31__________________, 2004 2006 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series A C Cumulative Convertible Preferred Stock, par value $0.0001 0.01 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value $0.0001 0.01 per share (the "Common Stock") ), and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants and certain other shares of Common StockWarrants, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Amended and Restated Investor Rights Agreement, on ____________ ___, 20042006, the Company filed a Registration Statement on Form SB-2 S-[__] (File No. 333_333-_____________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities (as defined in the Investor Rights Agreement) which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES OF HOLDERS]
Appears in 1 contract
Purchasers. NAME AND ADDRESS --------------------------------- Asset Managers International Lmtd c/o Vision Capital Advisors By: /s/ Xxxxx Xxxxxxxxx ----------------------------- Name: Xxxxx Xxxxxxxxx Title: MOTOROLA, INC. By: /s/ Xxxx X. Xxxxxx ----------------------------- Name: Xxxx X. Xxxxxx Title: Senior Vice President and General Manager, Multimedia Group BAY NETWORKS, INC. By: /s/ Xxxxx Xxxxx ----------------------------- Name: Xxxxx Xxxxx Title: Chief Financial Officer EXHIBIT A --------- PURCHASERS ---------- Name and Address of Purchaser Number of Shares of Series Aggregate ----------------------------- C Preferred to be Purchased Purchase Price --------------------------- -------------- ROGERS CABLESYSTEMS LIMITED 75,000 $15,000,000.00 Xxxxx 0000, Xxxxxx Plaza 00 Xxxx Xxxxxx X Xxxxxxx, Xxxxxxx Xxxxxx X0X 0X0 Attn: Jordan Fraser 954 3rd Avenue, Suite 402 New York, NY 10022 London, Exxxxxx Xxx: 010-000-0000 Xxx: 000-000-0000 Xxxxxx@xxxxxxx.com --------------------------------- Gix Xxxxxx 0000 Xxxxx Xxxxxx Xxxxon Grove, IL 60053 Tel: 312-474-4370 Xxxxxxx 000-000-6129 Evening Chief Executive Officer Fax: 312-356-7020 axxxxx@xxxxxxring.com --------------------------------- Xxxxxxxxx Xaxxxxxx, XXX x/x X. Xxuglas Ralston 701 Harger Road, Suite 190 Oak Brook, IL 60523 Tel: 000-000-0000 Xxx: 000-000-0000 jralston@cone.com --------------------------------- Joex Xxxxxxxx 080 Xxxxxx Xx. Xxxxcoe, IL 60022 Tel: 847-835-5588 Fax: X/X xxxxxxxsxxxx@xxx.xxx --------------------------------- Xxxstview Capxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0000 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxxxxxxw Xxxxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0060 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxa Xxxxxxxx 000 Xxxxxxxxxx Lane Highland Park, IL 60035 Tel: 847-400-0000 Xxx: 800-000-0000 Xxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxxxx & Xxxxxxxx Xxxxx x/x Xxxxart Flink 170 Crestview Deerfield, XX 00005 Txx: 000-000-0085 Fax: 000-000-0070 xxxxxxx@xxxxxxxxx.xxx --------------------------------- Xxxxx X. Xxoxxx 000 Xxxxxxx Xxxx Lake Forest, IL 60045 Tel: 847-615-0000 Xxx: 000-010-0000 xxxxxxx000@xxx.xxx --------------------------------- GLX Xxxxxx Xxxaxxxx, X.X. x/x X. Stephen Gilboy GLL Investors Inc. 425 West Surf Street Chicago, IL 60000 Xxx: 000-525-3038 Fax: 773-520-0000 xxxxxxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxex X. Xxxxxxx 00 Xxxxxx Xxxxx, Suite A Northbrook, IL 60062 Tel: 000-000-0000 Xxx: 000-000-0000 steven@crestviewcap.com --------------------------------- Xxxxx Xxxixxx, XXX x/x Xxxxxxx Xxvy 95 Revere Drive, Suite A Northbrook, IL 60062 Tel: 847-000-0000 Xxx: 000-000-0000 Richard@crestviewcap.com --------------------------------- Xxxxxxx P. Xxxxxxx x/x Xxxxxxx Xxair & Co. 222 W. Adams Street Chicaxx, XX 00000 Xxx: 213-300-0000 Xxx: 312-368-0000 xxxxxxxx@williamblair.com --------------------------------- Lachman Family Limited Partnership Attn: Mary Lachman 3140 Whisperwoxxx Xxxrt Northbrook, IL 60062 Tel: 847-500-0000 Xxx: 000-000-0000 xxxx@xxxxxxx.xxx --------------------------------- Josexx Xxxx Xx. Dxxxxxxxxxx xx Xxust, UAD May 1, 1986 3340 W. Main Sxxxxx Xxxxxe, Il 60076 Tel: 847-933-1197 Fax: 847-933-0000 --------------------------------- Nanxx Xxxx Xxxxcable Xxxxx 00 X. Howe Street Chicago, IL 60614 --------------------------------- Xxxx Xxxxxxx as custodian for Nathan A. Low Roth IRA c/o Sunrise Securitixx Xxxx. Attn: Nathan Low 00xx Xxxor 640 Xxxxxxton Avenue New York, N.Y. 10022 Tel: 000-021-1616 Fax: 212-000-0000 Xxxxxx@xxxxxxxxxxx.xxx --------------------------------- Xxxxx Xxxxd Xxxxxx Xxxx XXX x/x Xorth Sound Capital LLC Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 XxxxXXXX CABLESYSTEMS LTD. 75,000 $15,000,000.00 Suite 000 000 Xxxxx Xxxxxx XX Xxxxxxx, Xxxxxxx Xxxxxx X0X 0X0 Attn: Xxxxxxx GrundeiMr. Xxx Xxxx Jr. and Xxxxxx X. Xxxxxxxx, Esq. --------------------------------- North Sound Legacy Institutional Fund LLC c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 FacxxxxxxFax: (000) 000-0000 Xxxx: Xxxxxxx GrundeiSUN MICROSYSTEMS, EsqINC. --------------------------------- Xxxxx Sound 25,000 $ 5,000,000.00 0000 Xxxxxx Xxxxxxxxional Ltd c/o North Sound Capital Xxxxxx, MS PALI-530 Mountain View, CA 94043 Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 FacxxxxxxGeneral Counsel Fax: (000) 000-0000 NETSCAPE COMMUNICATIONS CORPORATION 20,000 $ 4,000,000.00 000 X. Xxxxxxxxxxx Xxxx Xxxxxxxx Xxxx, XX 00000 Attn: Mr. Xxxxx Xxxxxx Chief Financial Officer and Mr. J. Xxxxxx Xxxxx Fax: (000) 000-0000 and to Attn: Xxxxxxx GrundeiX. Xxxx, Esq. --------------------------------- XXX Xaster Fxxx Xxx x/x Xxxk Hill Investment Management, L.P 3 Bala Plaza East, Suite 585 Bala Cynwyd, PA 19004 TelFax: 610-949-9700 Xxx: (000-) 000-0000 xxxxxxxx@xxxxxxxxxxxxx.xxx --------------------------------- and to Attn: Xxxxx X. Xxxxxxx, Esq. and Xxx Xxxxxxxxxxx, Esq. Wilson, Sonsini, Xxxxxxxx and Xxxxxx X. Xxxxxxx 000 Xxxxx Xxxx Winnetka, Il 60093 TelFax: 847-920-1360 Xxx: (000) 000-000-0080 xxxxxxxx@xxxxxxx.xxx EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the OTC Bulletin Board or any exchange upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [0000 Name and Address of Transfer Agent] RePurchaser Number of Shares of Series Aggregate ----------------------------- C Preferred to be Purchased Purchase Price --------------------------- -------------- XXXXX XXXXXXXXX 5,000 $ 1,000,000.00 c/o Netscape Communications Corporation 000 X. Xxxxxxxxxxx Xxxx Xxxxxxxx Xxxx, XX 00000 Fax: National Coal Corp. Dear [______](000) 000-0000 MOTOROLA, INC. 25,000 $ 5,000,000.00 Multimedia Group 0000 Xxxx Xxxxxxxxx Xxxx Xxxxxxxxxx, XX 00000-0000 Attn: We are counsel General Counsel Fax: (000) 000-0000 and to National Coal Corp.Attn: Xx. Xxxxxxx X. Robertson Director of Business Development and Marketing Fax: (000) 000-0000 BAY NETWORKS, a Florida corporation INC. 15,000 $ 3,000,000.00 ------ -------------- 0000 Xxxxx Xxxxxxx Xxxxxxx Xxxxx Xxxxx, XX 00000 Attn: Xx. Xxxxx Xxxxx Fax: (the "Company"), and have represented the Company 000) 000-0000 TOTAL 240,000 $48,000,000.00 EXHIBIT D --------- INFORMATION CONCERNING PURCHASERS Jurisdiction in connection with that certain Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as which Purchaser Jurisdiction of August 31, 2004 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series A Cumulative Convertible Preferred Stock, par value $0.0001 per share, (the "Preferred Stock") convertible into shares Location of Purchaser's will accept the Company's common stockOffer to Purchaser Organization Principal Office Sell the Purchased Shares --------- ------------ ----------------------- ---------------------------------- Rogers Cablesystems Xxxxxxx Xxxxxxx, par value $0.0001 per share (the "Common Stock") and warrants to purchase shares Xxxxxx Xxxxxxx, Xxxxxx Limited Xxxx Cablesystems Ltd. Federal law of the Common Stock (the "Warrants"). Pursuant to the Purchase AgreementAlberta, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreedCanada Alberta, among other thingsCanada Canada Sun Microsystems, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants and certain other shares of Common StockInc. Delaware California California Netscape Communications Delaware California California Corporation Xxxxx Xxxxxxxxx California N/A California Resident Motorola, under the Securities Act of 1933Inc. Delaware Illinois Illinois Bay Networks, as amended (the "1933 Act"). In connection with the Company's obligations under the Investor Rights Agreement, on ____________ ___, 2004, the Company filed a Registration Statement on Form SB-2 (File No. 333______________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES OF HOLDERS]Inc. Delaware California California
Appears in 1 contract
Purchasers. NAME AND ADDRESS --------------------------------- Asset Managers International Lmtd c/o Vision Capital Advisors Attn: Jordan Fraser 954 3rd Avenue, Suite 402 New York, NY 10022 London, Exxxxxx Xxx: 010-000-0000 Xxx: 000-000-0000 Xxxxxx@xxxxxxx.com --------------------------------- Gix Xxxxxx 0000 Xxxxx Xxxxxx Xxxxon Grove, IL 60053 Tel: 312-474-4370 Xxxxxxx 000-000-6129 Evening Fax: 312-356-7020 axxxxx@xxxxxxring.com --------------------------------- Xxxxxxxxx Xaxxxxxx, XXX x/x X. Xxuglas Ralston 701 Harger Road, Suite 190 Oak Brook, IL 60523 Tel: 000-000-0000 Xxx: 000-000-0000 jralston@cone.com --------------------------------- Joex Xxxxxxxx 080 Xxxxxx Xx. Xxxxcoe, IL 60022 Tel: 847-835-5588 Fax: X/X xxxxxxxsxxxx@xxx.xxx --------------------------------- Xxxstview Capxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0000 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxxxxxxw Xxxxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0060 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxa Xxxxxxxx 000 Xxxxxxxxxx Lane Highland Park, IL 60035 Tel: 847-400-0000 Xxx: 800-000-0000 Xxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxxxx & Xxxxxxxx Xxxxx x/x Xxxxart Flink 170 Crestview Deerfield, XX 00005 Txx: 000-000-0085 Fax: 000-000-0070 xxxxxxx@xxxxxxxxx.xxx --------------------------------- Xxxxx X. Xxoxxx 000 Xxxxxxx Xxxx Lake Forest, IL 60045 Tel: 847-615-0000 Xxx: 000-010-0000 xxxxxxx000@xxx.xxx --------------------------------- GLX Xxxxxx Xxxaxxxx, X.X. x/x X. Stephen Gilboy GLL Investors Inc. 425 West Surf Street Chicago, IL 60000 Xxx: 000-525-3038 Fax: 773-520-0000 xxxxxxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxex X. Xxxxxxx 00 Xxxxxx Xxxxx, Suite A Northbrook, IL 60062 Tel: 000-000-0000 Xxx: 000-000-0000 steven@crestviewcap.com --------------------------------- Xxxxx Xxxixxx, XXX x/x Xxxxxxx Xxvy 95 Revere Drive, Suite A Northbrook, IL 60062 Tel: 847-000-0000 Xxx: 000-000-0000 Richard@crestviewcap.com --------------------------------- Xxxxxxx P. Xxxxxxx x/x Xxxxxxx Xxair & Co. 222 W. Adams Street Chicaxx, XX 00000 Xxx: 213-300-0000 Xxx: 312-368-0000 xxxxxxxx@williamblair.com --------------------------------- Lachman Family Limited Partnership Attn: Mary Lachman 3140 Whisperwoxxx Xxxrt Northbrook, IL 60062 Tel: 847-500-0000 Xxx: 000-000-0000 xxxx@xxxxxxx.xxx --------------------------------- Josexx Xxxx Xx. Dxxxxxxxxxx xx Xxust, UAD May 1, 1986 3340 W. Main Sxxxxx Xxxxxe, Il 60076 Tel: 847-933-1197 Fax: 847-933-0000 --------------------------------- Nanxx Xxxx Xxxxcable Xxxxx 00 X. Howe Street Chicago, IL 60614 --------------------------------- Xxxx Xxxxxxx as custodian for Nathan A. Low Roth IRA c/o Sunrise Securitixx Xxxx. Attn: Nathan Low 00xx Xxxor 640 Xxxxxxton Avenue New York, N.Y. 10022 Tel: 000-021-1616 Fax: 212-000-0000 Xxxxxx@xxxxxxxxxxx.xxx --------------------------------- Xxxxx Xxxxd Xxxxxx Xxxx XXX x/x Xorth Sound Capital LLC Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- North Sound Legacy Institutional Fund LLC c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- Xxxxx Sound Xxxxxx Xxxxxxxxional Ltd c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- XXX Xaster Fxxx Xxx x/x Xxxk Hill Investment Management, L.P 3 Bala Plaza East, Suite 585 Bala Cynwyd, PA 19004 Tel: 610-949-9700 Xxx: 000-000-0000 xxxxxxxx@xxxxxxxxxxxxx.xxx --------------------------------- Xxxxxx X. Xxxxxxx 000 Xxxxx Xxxx Winnetka, Il 60093 Tel: 847-920-1360 Xxx: 000-000-0080 xxxxxxxx@xxxxxxx.xxx EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares Aggregate Number of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the OTC Bulletin Board or any exchange upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer AgentPurchaser Units to be Purchased Purchase Price Pro Rata Portion ---------------------------------- ------------------------- ------------------------ ----------------------- Charterhouse Equity Partners, 104.93442 $10,493,441.60 55.22864% III, L.P. c/o Charterhouse Group International, Inc., 000 Xxxxxxx Xxxxxx, Xxx Xxxx, Xxx Xxxx 00000, Attention: Executive Vice President ---------------------------------- ------------------------- ------------------------ ----------------------- Chef Nominees Limited c/o 0.06558 $6,558.40 0.03452% Charterhouse Group International, Inc., 000 Xxxxxxx Xxxxxx, Xxx Xxxx, Xxx Xxxx 00000 Attention: Executive Vice President ---------------------------------- ------------------------- ------------------------ ----------------------- SOFTBANK Technology Ventures VI 39.49100 $3,949,100.00 20.78474% L.P. c/o Softbank Venture Capital, 000 Xxxx Xxxxxx Xxxxxx, Suite 200, Mountain View, California 94043, Attention: General Counsel ---------------------------------- ------------------------- ------------------------ ----------------------- SOFTBANK U.S. Ventures VI L.P. 42.35550 $4,235,550.00 22.29237% c/o Softbank Venture Capital, 000 Xxxx Xxxxxx Xxxxxx, Suite 200, Mountain View, California 94043, Attention: General Counsel ---------------------------------- ------------------------- ------------------------ ----------------------- SOFTBANK Technology Ventures 1.53850 $153,850.00 0.80974% Advisors Fund VI L.P. c/o Softbank Venture Capital, 000 Xxxx Xxxxxx Xxxxxx, Suite ---------------------------------- ------------------------- ------------------------ ----------------------- ---------------------------------- ------------------------- ------------------------ ----------------------- 200, Xxxxxxxx Xxxx, Xxxxxxxxxx 00000, Attention: General Counsel ---------------------------------- ------------------------- ------------------------ ----------------------- SOFTBANK Technology Ventures 1.61500 161,500.00 0.85000% Side Fund VI L.P. c/o Softbank Venture Capital, 000 Xxxx Xxxxxx Xxxxxx, Suite 200, Mountain View, California 94043, Attention: General Counsel ---------------------------------- ------------------------- ------------------------ ----------------------- TOTAL 190 $19,000,000.00 100% ---------------------------------- ------------------------- ------------------------ ----------------------- EXHIBIT 2 --------- Form of Convertible Notes INTERLIANT, INC. 8% CONVERTIBLE SUBORDINATED NOTE DUE JUNE 30, 2003 [Issuance Date] Re: National Coal Corp. Dear [No.___ $______]: We are counsel to National Coal Corp._ FOR VALUE RECEIVED, a Florida corporation the undersigned, INTERLIANT, INC. (the "Company"), and have represented the Company in connection with that certain Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of August 31, 2004 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant hereby promises to which the Company issued pay to the Holders its Series A Cumulative Convertible Preferred Stock, par value $0.0001 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value $0.0001 per share (the "Common Stock") and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants and certain other shares of Common Stock, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Investor Rights Agreement, on ____________ ___, 2004, the Company filed a Registration Statement on Form SB-2 (File No. 333______________) or its assigns (the "Registration StatementHolder") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities which names each principal sum of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES OF HOLDERS]DOLLARS on June 30, 2003, and to pay interest (computed on the basis of a 360-day year of twelve 30-day months) on said principal sum quarterly on March 31, June 30, September 30 and December 31 of each year (each an "Interest Payment Date") commencing on the first Interest Payment Date following the date of issuance hereof (the "Issuance Date"), at the rate of 8% per annum, until the principal hereof is paid in full. From the Issuance Date until the Interest Payment Date immediately preceding the date on which the principal hereof is paid in full (the "Repayment Date"), such interest shall be paid on each Interest Payment Date by the issuance to the Holder of additional 8% Convertible Subordinated Notes due June 30, 2003 having the same terms and conditions (other than principal amount and Issuance Date) as this note (such additional notes, together with this note, are hereinafter individually referred to as a "Security" and collectively referred to as the "Securities") in the principal amount of the interest payable on such Interest Payment Date. Interest for the period from the Interest Payment Date immediately preceding the Repayment Date through the Repayment Date shall be paid in cash on the Repayment Date. This Security shall also have the following additional terms and conditions:
Appears in 1 contract
Purchasers. NAME AND ADDRESS --------------------------------- Asset Managers International Lmtd Yale University ---------------------------------- (Print name of Purchaser) By: /s/ Xxxxxxx X. Xxxxxxxxx ----------------------------- Name: Xxxxxxx X. Xxxxxxxxx ----------------------------- (print) Title: President of S(2) Technology ---------------------------- Investment Advisor for Yale --------------------------- Address: See Attached SIGNATURE PAGE TO PURCHASE AGREEMENT PURCHASERS: Yale University Retirement Plan for Staff Employees ---------------------------------- (Print name of Purchaser) By: /s/ Xxxxxxx X. Xxxxxxxxx ----------------------------- Name: Xxxxxxx X. Xxxxxxxxx ----------------------------- (print) Title: President of S(2) Technology ---------------------------- Investment Advisor for Yale --------------------------- Address: See Attached Camelot Capital LP ---------------------------------- (Print name of Purchaser) By: /s/ Xxxxx Xxxxx ----------------------------- Name: Xxxxx Xxxxx ----------------------------- (print) Title: GP ---------------------------- Address: Camelot Offshore Fund Ltd. ---------------------------------- (Print name of Purchaser) By: /s/ Xxxxx Xxxxx ----------------------------- Name: Xxxxx Xxxxx ----------------------------- (print) Title: Managing Director ---------------------------- Address: PURCHASER: Xxxx Xxxxxx Xxxxxxxx, Custodian For Xxxx X. Xxxxxx Xxx Rollover-4-2-92 ---------------------------------- (Print name of Purchaser) By: /s/ Xxxx Xxxxxx ----------------------------- Name: Xxxx Xxxxxx ----------------------------- (print) Title: ---------------------------- Address: c/o Vision Capital Advisors Attn: Jordan Fraser 954 3rd AvenueXxxxxx Xxxxxxxxx Xxxx Xxxxxx Retirement Plan Maintenance 0 Xxxxx Xxxxx Xxxxxx, Suite 402 New York, NY 10022 London, Exxxxxx Xxx: 010-000-0000 Xxx: 000-000-0000 Xxxxxx@xxxxxxx.com --------------------------------- Gix Xxxxxx 0000 0xx Xxxxx Xxxxxx Xxxxon Grove, IL 60053 Tel: 312-474-4370 Xxxxxxx 000-000-6129 Evening Fax: 312-356-7020 axxxxx@xxxxxxring.com --------------------------------- Xxxxxxxxx Xaxxxxxx, XXX x/x X. Xxuglas Ralston 701 Harger Road, Suite 190 Oak Brook, IL 60523 Tel: 000-000-0000 Xxx: 000-000-0000 jralston@cone.com --------------------------------- Joex Xxxxxxxx 080 Xxxxxx Xx. Xxxxcoe, IL 60022 Tel: 847-835-5588 Fax: X/X xxxxxxxsxxxx@xxx.xxx --------------------------------- Xxxstview Capxxxx Xxxxxx XXX Xxx Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0000 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxxxxxxw Xxxxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0060 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxa Xxxxxxxx 000 Xxxxxxxxxx Lane Highland Park, IL 60035 Tel: 847-400-0000 Xxx: 800-000-0000 Xxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxxxx & Xxxxxxxx Xxxxx x/x Xxxxart Flink 170 Crestview Deerfield, XX 00005 Txx: 000-000-0085 Fax: 000-000-0070 xxxxxxx@xxxxxxxxx.xxx --------------------------------- Xxxxx X. Xxoxxx 000 Xxxxxxx Xxxx Lake Forest, IL 60045 Tel: 847-615-0000 Xxx: 000-010-0000 xxxxxxx000@xxx.xxx --------------------------------- GLX Xxxxxx Xxxaxxxx, X.X. x/x X. Stephen Gilboy GLL Investors Inc. 425 West Surf Street Chicago, IL 60000 Xxx: 000-525-3038 Fax: 773-520-0000 xxxxxxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxex X. Xxxxxxx 00 Xxxxxx Xxxxx, Suite A Northbrook, IL 60062 Tel: 000-000-0000 Xxx: 000-000-0000 steven@crestviewcap.com --------------------------------- Xxxxx Xxxixxx, XXX x/x Xxxxxxx Xxvy 95 Revere Drive, Suite A Northbrook, IL 60062 Tel: 847-000-0000 Xxx: 000-000-0000 Richard@crestviewcap.com --------------------------------- Xxxxxxx P. Xxxxxxx x/x Xxxxxxx Xxair & Co. 222 W. Adams Street Chicaxx, XX 00000 Xxx: 213-300-0000 Xxx: 312-368-0000 xxxxxxxx@williamblair.com --------------------------------- Lachman Family Limited Partnership Attn: Mary Lachman 3140 Whisperwoxxx Xxxrt Northbrook, IL 60062 Tel: 847-500-0000 Xxx: 000-000-0000 xxxx@xxxxxxx.xxx --------------------------------- Josexx Xxxx Xx. Dxxxxxxxxxx xx Xxust, UAD May 1, 1986 3340 W. Main Sxxxxx Xxxxxe, Il 60076 Tel: 847-933-1197 Fax: 847-933-0000 --------------------------------- Nanxx Xxxx Xxxxcable Xxxxx 00 X. Howe Street Chicago, IL 60614 --------------------------------- Xxxx Xxxxxxx as custodian for Nathan A. Low Roth IRA c/o Sunrise Securitixx Xxxx. Attn: Nathan Low 00xx Xxxor 640 Xxxxxxton Avenue New York, N.Y. 10022 Tel: 000-021-1616 Fax: 212-000-0000 Xxxxxx@xxxxxxxxxxx.xxx --------------------------------- Xxxxx Xxxxd Xxxxxx Xxxx XXX x/x Xorth Sound Capital LLC Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: Xxxxxxxxxx ---------------------------------- (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- North Sound Legacy Institutional Fund LLC c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- Xxxxx Sound Xxxxxx Xxxxxxxxional Ltd c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- XXX Xaster Fxxx Xxx x/x Xxxk Hill Investment Management, L.P 3 Bala Plaza East, Suite 585 Bala Cynwyd, PA 19004 Tel: 610-949-9700 Xxx: 000-000-0000 xxxxxxxx@xxxxxxxxxxxxx.xxx --------------------------------- Xxxxxx X. Xxxxxxx 000 Xxxxx Xxxx Winnetka, Il 60093 Tel: 847-920-1360 Xxx: 000-000-0080 xxxxxxxx@xxxxxxx.xxx EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the OTC Bulletin Board or any exchange upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the Print name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s)Purchaser) By: /s/ Xxxxx Xxxxxxxxxx ------------------------------- Name: Xxxxx Xxxxxxxxxx ----------------------------- (print) Title: CEO ---------------------------- Address: 0000 Xxxxxxxx Xxx Xxx Xxxx, where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re: National Coal Corp. Dear [______]: We are counsel to National Coal Corp., a Florida corporation (the "Company"), and have represented the Company in connection with that certain Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of August 31, 2004 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series A Cumulative Convertible Preferred Stock, par value $0.0001 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value $0.0001 per share (the "Common Stock") and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants and certain other shares of Common Stock, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Investor Rights Agreement, on ____________ ___, 2004, the Company filed a Registration Statement on Form SB-2 (File No. 333______________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, ByXX 00000 PURCHASERS:__________________________________ cc: [LIST NAMES OF HOLDERS]
Appears in 1 contract
Samples: Common Stock and Warrant Purchase Agreement (Centura Software Corp)
Purchasers. NAME AND ADDRESS --------------------------------- Asset Managers International Lmtd c/o Vision Capital Advisors Attn: Jordan Fraser 954 3rd Avenue, Suite 402 New York, NY 10022 London, Exxxxxx Xxx: 010-000-0000 Xxx: 000-000-0000 Xxxxxx@xxxxxxx.com --------------------------------- Gix Xxxxxx 0000 Xxxxx Xxxxxx Xxxxon Grove, IL 60053 Tel: 312-474-4370 Xxxxxxx 000-000-6129 Evening Fax: 312-356-7020 axxxxx@xxxxxxring.com --------------------------------- Xxxxxxxxx Xaxxxxxx, XXX x/x X. Xxuglas Ralston 701 Harger Road, Suite 190 Oak Brook, IL 60523 Tel: 000-000-0000 Xxx: 000-000-0000 jralston@cone.com --------------------------------- Joex Xxxxxxxx 080 Xxxxxx Xx. Xxxxcoe, IL 60022 Tel: 847-835-5588 Fax: X/X xxxxxxxsxxxx@xxx.xxx --------------------------------- Xxxstview Capxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0000 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxxxxxxw Xxxxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0060 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxa Xxxxxxxx 000 Xxxxxxxxxx Lane Highland Park, IL 60035 Tel: 847-400-0000 Xxx: 800-000-0000 Xxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxxxx & Xxxxxxxx Xxxxx x/x Xxxxart Flink 170 Crestview Deerfield, XX 00005 Txx: 000-000-0085 Fax: 000-000-0070 xxxxxxx@xxxxxxxxx.xxx --------------------------------- Xxxxx X. Xxoxxx 000 Xxxxxxx Xxxx Lake Forest, IL 60045 Tel: 847-615-0000 Xxx: 000-010-0000 xxxxxxx000@xxx.xxx --------------------------------- GLX Xxxxxx Xxxaxxxx, X.X. x/x X. Stephen Gilboy GLL Investors Inc. 425 West Surf Street Chicago, IL 60000 Xxx: 000-525-3038 Fax: 773-520-0000 xxxxxxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxex X. Xxxxxxx 00 Xxxxxx Xxxxx, Suite A Northbrook, IL 60062 Tel: 000-000-0000 Xxx: 000-000-0000 steven@crestviewcap.com --------------------------------- Xxxxx Xxxixxx, XXX x/x Xxxxxxx Xxvy 95 Revere Drive, Suite A Northbrook, IL 60062 Tel: 847-000-0000 Xxx: 000-000-0000 Richard@crestviewcap.com --------------------------------- Xxxxxxx P. Xxxxxxx x/x Xxxxxxx Xxair & Co. 222 W. Adams Street Chicaxx, XX 00000 Xxx: 213-300-0000 Xxx: 312-368-0000 xxxxxxxx@williamblair.com --------------------------------- Lachman Family Limited Partnership Attn: Mary Lachman 3140 Whisperwoxxx Xxxrt Northbrook, IL 60062 Tel: 847-500-0000 Xxx: 000-000-0000 xxxx@xxxxxxx.xxx --------------------------------- Josexx Xxxx Xx. Dxxxxxxxxxx xx Xxust, UAD May 1, 1986 3340 W. Main Sxxxxx Xxxxxe, Il 60076 Tel: 847-933-1197 Fax: 847-933-0000 --------------------------------- Nanxx Xxxx Xxxxcable Xxxxx 00 X. Howe Street Chicago, IL 60614 --------------------------------- Xxxx Xxxxxxx as custodian for Nathan A. Low Roth IRA c/o Sunrise Securitixx Xxxx. Attn: Nathan Low 00xx Xxxor 640 Xxxxxxton Avenue New York, N.Y. 10022 Tel: 000-021-1616 Fax: 212-000-0000 Xxxxxx@xxxxxxxxxxx.xxx --------------------------------- Xxxxx Xxxxd Xxxxxx Xxxx XXX x/x Xorth Sound Capital LLC Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- North Sound Legacy Institutional Fund LLC c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- Xxxxx Sound Xxxxxx Xxxxxxxxional Ltd c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- XXX Xaster Fxxx Xxx x/x Xxxk Hill Investment Management, L.P 3 Bala Plaza East, Suite 585 Bala Cynwyd, PA 19004 Tel: 610-949-9700 Xxx: 000-000-0000 xxxxxxxx@xxxxxxxxxxxxx.xxx --------------------------------- Xxxxxx X. Xxxxxxx 000 Xxxxx Xxxx Winnetka, Il 60093 Tel: 847-920-1360 Xxx: 000-000-0080 xxxxxxxx@xxxxxxx.xxx EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares Aggregate Number of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the OTC Bulletin Board or any exchange upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed Principal Amount Units to be "underwriters" within the meaning of Section 2(11) Convertible Number of the Securities Act Percentage of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] RePurchaser Purchased Purchase Price Notes Warrants Notes ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Charterhouse Equity 75 $7,500,000 $7,500,000 7,500,000 75% Partners, III, L.P. c/o Charterhouse Group International, Inc. 000 Xxxxxxx Xxxxxx Xxx Xxxx, Xxx Xxxx 00000 Attention: National Coal Corp. Dear [______]President ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS Technology Ventures VI 11.615 $1,161,500 $1,161,500 1,161,500 11.615% L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View California 94043 Attention: We are counsel General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- SOFTBANK U.S. Ventures Fund VI 12.4575 $1,245,750 $1,245,750 1,245,750 12.4575% L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .4525 $45,250 $45,250 45,250 .4525% Technology Ventures Advisors Fund VI L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Aggregate Number of Principal Amount Units to National Coal Corp.be of Convertible Number of Percentage of Name and Address of Purchaser Purchased Purchase Price Notes Warrants Notes ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .475 $47,500 $47,500 47,500 .475% Technology Ventures Side Fund VI L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, a Florida corporation (the "Company"), and have represented the Company in connection with that certain Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of August 31, 2004 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series A Cumulative Convertible Preferred Stock, par value California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- TOTAL 100 $0.0001 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value 10,000,000.00 $0.0001 per share (the "Common Stock") and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants and certain other shares of Common Stock, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Investor Rights Agreement, on ____________ ___, 2004, the Company filed a Registration Statement on Form SB-2 (File No. 333______________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES OF HOLDERS]10,000,000 10,000,000 100% ---------------------------------- ---------------- ------------------ ------------------- --------------- ----------------
Appears in 1 contract
Purchasers. NAME AND ADDRESS --------------------------------- Asset Managers International Lmtd c/o Vision Capital Advisors AttnBROOKSIDE CAPITAL PARTNERS SANKATY HIGH YIELD ASSET FUND, L.P. PARTNERS, L.P. By: Jordan Fraser 954 3rd Avenue/s/ DOMEXXX XXXXXXXX By: /s/ JOSHXX XXXXXXXXXX ------------------------------ ------------------------------- Name: Domexxx Xxxxxxxx Name: Joshxx Xxxxxxxxxx Xxxle: Managing Director Title: Managing Director PEP INVESTMENTS PTY LTD BCIP ASSOCIATES II By: Bain Xxxital, Suite 402 New YorkInc., NY 10022 LondonBy: Bain Xxxital, Exxxxxx Xxx: 010-000-0000 Xxx: 000-000-0000 Xxxxxx@xxxxxxx.com --------------------------------- Gix Xxxxxx 0000 Xxxxx Xxxxxx Xxxxon GroveInc., IL 60053 Tel: 312-474-4370 Xxxxxxx 000-000-6129 Evening Fax: 312-356-7020 axxxxx@xxxxxxring.com --------------------------------- Xxxxxxxxx Xaxxxxxx, XXX x/x X. Xxuglas Ralston 701 Harger Road, Suite 190 Oak Brook, IL 60523 Tel: 000-000-0000 Xxx: 000-000-0000 jralston@cone.com --------------------------------- Joex Xxxxxxxx 080 Xxxxxx Xx. Xxxxcoe, IL 60022 Tel: 847-835-5588 Fax: X/X xxxxxxxsxxxx@xxx.xxx --------------------------------- Xxxstview Capxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0000 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxxxxxxw Xxxxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0060 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxa Xxxxxxxx 000 Xxxxxxxxxx Lane Highland Park, IL 60035 Tel: 847-400-0000 Xxx: 800-000-0000 Xxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxxxx & Xxxxxxxx Xxxxx x/x Xxxxart Flink 170 Crestview Deerfield, XX 00005 Txx: 000-000-0085 Fax: 000-000-0070 xxxxxxx@xxxxxxxxx.xxx --------------------------------- Xxxxx X. Xxoxxx 000 Xxxxxxx Xxxx Lake Forest, IL 60045 Tel: 847-615-0000 Xxx: 000-010-0000 xxxxxxx000@xxx.xxx --------------------------------- GLX Xxxxxx Xxxaxxxx, X.X. x/x X. Stephen Gilboy GLL Investors Inc. 425 West Surf Street Chicago, IL 60000 Xxx: 000-525-3038 Fax: 773-520-0000 xxxxxxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxex X. Xxxxxxx 00 Xxxxxx Xxxxx, Suite A Northbrook, IL 60062 Tel: 000-000-0000 Xxx: 000-000-0000 steven@crestviewcap.com --------------------------------- Xxxxx Xxxixxx, XXX x/x Xxxxxxx Xxvy 95 Revere Drive, Suite A Northbrook, IL 60062 Tel: 847-000-0000 Xxx: 000-000-0000 Richard@crestviewcap.com --------------------------------- Xxxxxxx P. Xxxxxxx x/x Xxxxxxx Xxair & Co. 222 W. Adams Street Chicaxx, XX 00000 Xxx: 213-300-0000 Xxx: 312-368-0000 xxxxxxxx@williamblair.com --------------------------------- Lachman Family Limited Partnership Attn: Mary Lachman 3140 Whisperwoxxx Xxxrt Northbrook, IL 60062 Tel: 847-500-0000 Xxx: 000-000-0000 xxxx@xxxxxxx.xxx --------------------------------- Josexx Xxxx Xx. Dxxxxxxxxxx xx Xxust, UAD May 1, 1986 3340 W. Main Sxxxxx Xxxxxe, Il 60076 Tel: 847-933-1197 Fax: 847-933-0000 --------------------------------- Nanxx Xxxx Xxxxcable Xxxxx 00 X. Howe Street Chicago, IL 60614 --------------------------------- Xxxx Xxxxxxx as custodian for Nathan A. Low Roth IRA c/o Sunrise Securitixx Xxxx. Attn: Nathan Low 00xx Xxxor 640 Xxxxxxton Avenue New York, N.Y. 10022 Tel: 000-021-1616 Fax: 212-000-0000 Xxxxxx@xxxxxxxxxxx.xxx --------------------------------- Xxxxx Xxxxd Xxxxxx Xxxx XXX x/x Xorth Sound Capital LLC Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- North Sound Legacy Institutional Fund LLC c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- Xxxxx Sound Xxxxxx Xxxxxxxxional Ltd c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- XXX Xaster Fxxx Xxx x/x Xxxk Hill Investment Management, L.P 3 Bala Plaza East, Suite 585 Bala Cynwyd, PA 19004 Tel: 610-949-9700 Xxx: 000-000-0000 xxxxxxxx@xxxxxxxxxxxxx.xxx --------------------------------- Xxxxxx X. Xxxxxxx 000 Xxxxx Xxxx Winnetka, Il 60093 Tel: 847-920-1360 Xxx: 000-000-0080 xxxxxxxx@xxxxxxx.xxx EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successorsits attorney-in-interest directly to purchasers or to or through underwritersfact its Managing Partner By: /s/ JOSHXX XXXXXXXXXX By: /s/ JOSHXX XXXXXXXXX -------------------------- --------------------------- Name: Joshxx Xxxxxxxxxx Name: Joshxx Xxxxxxxxxx Title: Managing Director Title: Managing Director BCIP ASSOCIATES II-B By: Bain Xxxital, brokerInc., /s/ NAVEX XXXX its Managing Partner ---------------------------------- NAVEXX XXXX Xx: /s/ JOSHXX XXXXXXXXXX /s/ PETEX XXXXXXXX ------------------------------ ---------------------------------- Name: Joshxx Xxxxxxxxxx PETEX XXXXXXXX Xxxle: Managing Director BERGXX XXX GENERATION . LDIG NL, INC. FUND, A SERIES OF THE BERGXX XXXESTMENT PORTFOLIO OF TRUSTS By: /s/ MARK X. XXXDENHUSE By: /s/ CRAIX XXXXXXXXX ------------------------------ ------------------------------- Name: Mark X. Xxxdenhuse Name: Craix Xxxxxxxxx Xxxle: Sr. V.P., Part Mgr. Title: Vice President 26 30 PURCHASERS: PEARL STREET TRUST BOWANA FOUNDATION By: /s/ SCOTX X. XXXX By: /s/ ERIC XXXXXXX ------------------------------ ------------------------------- Name: Scotx X. Xxxx Name: Eric Xxxxxxx Xxxle: President, CEO Title: President THE MCGRXX-dealers or through agentsXXXX COMPANIES, INC. Sales may be made from time to time on the OTC Bulletin Board or any exchange upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following/s/ SHARXX XXXXXXX By: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing/s/ ROBEXX X. XXXXXX --------------------------------- ------------------------------- SHARXX XXXXXXX Name: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] ReRobexx X. Xxxxxx Title: National Coal Corp. Dear [______]Executive VP & CEO /s/ RAJ XXXXX /s/ LLOYX XXXX --------------------------------- ---------------------------------- RAJ XXXXX LLOYX XXXX /s/ TIM XXXXXXX --------------------------------- TIM XXXXXXX REPERTOIRE CAPITAL VENTURES RLLLP By: We are counsel to National Coal Corp., a Florida corporation (the "Company"), and have represented the Company in connection with that certain Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of August 31, 2004 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series A Cumulative Convertible Preferred Stock, par value $0.0001 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value $0.0001 per share (the "Common Stock") and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants and certain other shares of Common Stock, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Investor Rights Agreement, on ____________ ___, 2004, the Company filed a Registration Statement on Form SB-2 (File No. 333______________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc/s/ KARL X. XXXXXXXX ------------------------------ Name: [LIST NAMES OF HOLDERS]Karl X. Xxxxxxxx Xxxle: Gen. Ptnr.
Appears in 1 contract
Samples: Preferred Stock Purchase Agreement (Netlibrary Inc)
Purchasers. PURCHASERS NOTE PURCHASE NAME AND ADDRESS --------------------------------- Asset Managers International Lmtd c/o Vision PRICE ------------------------ ------------------------------------------------------- Signal Capital Advisors Attn: Jordan Fraser 954 3rd AvenuePartners, Suite 402 New York, NY 10022 London, Exxxxxx Xxx: 010-000-0000 Xxx: 000-000-0000 Xxxxxx@xxxxxxx.com --------------------------------- Gix L.P. $1,200,000 00 X. 00xx Xxxxxx 0000 00xx Xxxxx Xxxxxx Xxxxon Grove, IL 60053 Tel: 312-474-4370 Xxxxxxx 000-000-6129 Evening Fax: 312-356-7020 axxxxx@xxxxxxring.com --------------------------------- Xxxxxxxxx Xaxxxxxx, XXX x/x X. Xxuglas Ralston 701 Harger Road, Suite 190 Oak Brook, IL 60523 Tel: 000-000-0000 Xxx: 000-000-0000 jralston@cone.com --------------------------------- Joex Xxxxxxxx 080 Xxxxxx Xx. Xxxxcoe, IL 60022 Tel: 847-835-5588 Fax: X/X xxxxxxxsxxxx@xxx.xxx --------------------------------- Xxxstview Capxxxx Xxxxxx XXX Xxx Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0000 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxxxxxxw Xxxxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0060 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxa Xxxxxxxx 000 Xxxxxxxxxx Lane Highland Park, IL 60035 Tel: 847-400-0000 Xxx: 800-000-0000 Xxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxxxx & Xxxxxxxx Xxxxx x/x Xxxxart Flink 170 Crestview Deerfield, XX 00005 Txx: 000-000-0085 Fax: 000-000-0070 xxxxxxx@xxxxxxxxx.xxx --------------------------------- Xxxxx X. Xxoxxx 000 Xxxxxxx Xxxx Lake Forest, IL 60045 Tel: 847-615-0000 Xxx: 000-010-0000 xxxxxxx000@xxx.xxx --------------------------------- GLX Xxxxxx Xxxaxxxx, X.X. x/x X. Stephen Gilboy GLL Investors Inc. 425 West Surf Street Chicago, IL 60000 Xxx: 000-525-3038 Fax: 773-520-0000 xxxxxxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxex X. Xxxxxxx 00 Xxxxxx Xxxxx, Suite A Northbrook, IL 60062 Tel: 000-000-0000 Xxx: 000-000-0000 steven@crestviewcap.com --------------------------------- Xxxxx Xxxixxx, XXX x/x Xxxxxxx Xxvy 95 Revere Drive, Suite A Northbrook, IL 60062 Tel: 847-000-0000 Xxx: 000-000-0000 Richard@crestviewcap.com --------------------------------- Xxxxxxx P. Xxxxxxx x/x Xxxxxxx Xxair & Co. 222 W. Adams Street Chicaxx, XX 00000 Xxx: 213-300-0000 Xxx: 312-368-0000 xxxxxxxx@williamblair.com --------------------------------- Lachman Family Limited Partnership Attn: Mary Lachman 3140 Whisperwoxxx Xxxrt Northbrook, IL 60062 Tel: 847-500-0000 Xxx: 000-000-0000 xxxx@xxxxxxx.xxx --------------------------------- Josexx Xxxx Xx. Dxxxxxxxxxx xx Xxust, UAD May 1, 1986 3340 W. Main Sxxxxx Xxxxxe, Il 60076 Tel: 847-933-1197 Fax: 847-933-0000 --------------------------------- Nanxx Xxxx Xxxxcable Xxxxx 00 X. Howe Street Chicago, IL 60614 --------------------------------- Xxxx Xxxxxxx as custodian for Nathan A. Low Roth IRA c/o Sunrise Securitixx Xxxx. Attn: Nathan Low 00xx Xxxor 640 Xxxxxxton Avenue New York, N.Y. 10022 Tel: 000-021-1616 Fax: 212-000-0000 Xxxxxx@xxxxxxxxxxx.xxx --------------------------------- Xxxxx Xxxxd Xxxxxx Xxxx XXX x/x Xorth Sound Capital LLC Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Xxxxxxx Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 Xxxx: Xxxxxxx Grundei, Esq. --------------------------------- North Sound Legacy Institutional Fund LLC c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 FacxxxxxxTelecopier: (000) 000-0000 ------------------------ ------------------------------------------------------- Waterview Partners, LP $1,000,000 0000 Xxxxxx xx xxx Xxxxxxxx 00xx Xxxxx Xxx Xxxx, XX 00000 Attn: Xxxxxxx Grundei, Esq. --------------------------------- Xxxxx Sound Xxxxxx Xxxxxxxxional Ltd c/o North Sound Capital Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Xxxxxxx Telephone: (000) 363-0000 Facxxxxxx: (000) 000-0000 XxxxTelecopier: Xxxxxxx Grundei, Esq. --------------------------------- XXX Xaster Fxxx Xxx x/x Xxxk Hill Investment Management, L.P 3 Bala Plaza East, Suite 585 Bala Cynwyd, PA 19004 Tel: 610-949-9700 Xxx: (000-) 000-0000 xxxxxxxx@xxxxxxxxxxxxx.xxx --------------------------------- ------------------------ ------------------------------------------------------- Exeter Capital Partners IV, L.P. $1,500,000 c/o The Exeter Group 00 X. 00xx Xxxxxx Xxx Xxxx, XX 00000 Attn: Xxxxx Xxx Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ Exeter Equity Partners, L.P. $500,000 c/o The Exeter Group 00 X. 00xx Xxxxxx Xxx Xxxx, XX 00000 Attn: Xxxxx Xxx Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ Burden Direct Investment Fund III $1,000,000 00 Xxxx 00xx Xxxxxx 00xx Xxxxx Xxx Xxxx, XX 00000 Attn: Xxxxxxx Xxxxx Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ ------------------------------------------------------------- ------------------ Delta Opportunity Fund, Ltd. $600,000 c/o International Fund Administration, Ltd. Xxxxx 000 00 Xxx Xx Xxxxx Xxxx Xxxxxxxx XX00 Bermuda Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ Delta Opportunity Fund, (Institutional), LLC $400,000 c/o Diaz & Altschul Management, LLC 000 Xxxxx Xxxxxx Xxxxx 0000 Xxx Xxxx, Xxx Xxxx 00000 Attn: Xxxxxx X. Xxxxxxx Xxxxxxxx, Xx. Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ Xxxxxxxx X. Xxxx $25,000 New York, New York Telephone: Telecopier: ------------------------------------------------------------- ------------------ Overbrook Fund I, LLC $250,000 c/o Overbrook Management Corporation 000 Xxxxx Xxxxxx 00xx Xxxxx Xxx Xxxx, Xxx Xxxx Winnetka, Il 60093 Tel00000 Attn: 847-920-1360 XxxXxxx X. Xxxxxx Telephone: (000) 000-0000 Telecopier: (000) 000-0080 xxxxxxxx@xxxxxxx.xxx EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders0000 ------------------------------------------------------------- ------------------ ------------------------------------------------------------- ------------------ Fiber Island, LLC $500,000 000 Xxxx Xxxxxx 00xx Xxxxx Xxx Xxxx, XX 00000 Attn: Xxxxxxx X'Xxxxxxx Telephone: (000) 000-0000 Telecopier: (212) 421-0169 ------------------------------------------------------------- ------------------ Madison Investment Partners II LP $500,000 000 Xxxxxxx Xxxxxx 00xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 Attn: Xxx Xxxxxx Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ Xxxxx Xxxx Partners, L.P. $250,000 000 Xxxxx Xxxxxx Xxx Xxxx, XX 00000 Attn: Xxxxxxx X. Xxxxxxx, Xx. Sales of shares may be made by selling security holdersTelephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ Xxxxxx X. Xxxxxx $25,000 c/o X'Xxxxxxxx Graev & Karabell, including their respective doneesLLP 00 Xxxxxxxxxxx Xxxxx Xxx Xxxx, transferees, pledgees or other successorsXX 00000 Telephone: (000) 000-in0000 Telecopier: (000) 000-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the OTC Bulletin Board or any exchange upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re: National Coal Corp. Dear [______]: We are counsel to National Coal Corp., a Florida corporation (the "Company"), and have represented the Company in connection with that certain Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of August 31, 2004 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series A Cumulative Convertible Preferred Stock, par value $0.0001 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value $0.0001 per share (the "Common Stock") and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants and certain other shares of Common Stock, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Investor Rights Agreement, on ____________ ___, 2004, the Company filed a Registration Statement on Form SB-2 (File No. 333______________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES OF HOLDERS]0000 ------------------------------------------------------------- ------------------
Appears in 1 contract
Samples: Securities Purchase Agreement (Fibernet Telecom Group Inc\)
Purchasers. s/ Billx Xxxxxxx --------------------------------------------- Name: Billx Xxxxxxx Title: Owner Company: Tarpon Investments, L.L.C. PURCHASERS: /s/ N. John Xxxxxxx, Xx. --------------------------------------------- Name: N. John Xxxxxxx, Xx. Title: President Company: Quantum Capital Partners, Inc. PURCHASERS: /s/ Benjxxxx Xxxxxxx --------------------------------------------- Name: Benjxxxx Xxxxxxx Title: Company: PURCHASERS: /s/ Thomxx X. Xxxxxxxx --------------------------------------------- Name: Thomxx X. Xxxxxxxx Title: Company: PURCHASERS: /s/ Arthxx X. Xxxxxxx --------------------------------------------- Name: Arthxx X. Xxxxxxx Title: Vice President Company: First Union Capital Partners 2001, L.L.C. PURCHASERS: /s/ Lawrxxxx X. Xxxxxxx --------------------------------------------- Name: Lawrxxxx X. Xxxxxxx Title: Clerk, Assistant Treasurer Company: CT Communications Northeast, Inc. EXHIBIT A SCHEDULE OF PURCHASERS SERIES C PREFERRED STOCK NAME AND ADDRESS --------------------------------- Asset Managers International Lmtd c/o Vision Capital Advisors AttnTOTAL NUMBER OF SHARES AGGREGATE PURCHASE PRICE -------------------------- ---------------------- ------------------------ ITC Telecom Ventures, Inc. 8,333,333 $24,999,999 3300 00xx Xxxxxx Xxxxxx, XX 00000 Xxxn: Jordan Fraser 954 3rd Avenue, Suite 402 New York, NY 10022 London, Exxxxxx XxxCampxxxx X. Lxxxxx XXX Phone: 010-(334) 000-0000 Xxx: 000-(334) 000-0000 Xxxxxx@xxxxxxx.com --------------------------------- Gix Xxxxxx 0000 Xxxxx Xxxxxx Xxxxon GroveXxxil: clanxxx@xxxxxxx.xxx xxth a copy to: ITC Holding Company, IL 60053 TelInc. 4717 Xxxxxxx Xxxx Xxxxxxxxxx, XX 00000 Xxxn: 312-474-4370 Xxxxxxx 000-000-6129 Evening FaxKim Xxxxxxxx Xxxne: 312-356-7020 axxxxx@xxxxxxring.com --------------------------------- Xxxxxxxxx Xaxxxxxx, XXX x/x X. Xxuglas Ralston 701 Harger Road, Suite 190 Oak Brook, IL 60523 Tel: 000-(703) 000-0000 Xxx: 000-(703) 000-0000 jralston@cone.com --------------------------------- Joex Xxxil: kthoxxxxx@xxxxxxx.xxx 39 SCANA Communications Holdings, Inc. 8,333,333 24,999,999 c/o Belfint Lyonx & Xhumxx (xxil address) P.O. Xxx 0000 Xxxxxxxxxx, Xxxxxxxx 080 00000-0000 (xxlivery address) 200 Xxxx Xxxxx Xxxxxx Xx. XxxxcoeXxxxx, IL 60022 TelXxxxx 000 Xxxxxxxxxx, Xxxxxxxx 00000 Xxxn: 847-835-5588 FaxMr. Xxxxx Xxxxxxxxxx Xxxne: X/X xxxxxxxsxxxx@xxx.xxx --------------------------------- Xxxstview Capxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-(302) 000-0000 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxxxxxxw Xxxxxxx Xxxxxx XXX Xxxx: Stewart R. Flink 95 Revere Drive, Suite A Northbrook, Illinois 60062 Xxx: 000-000-0060 Xxx: 000-559-5807 stewart@crestviewcap.com --------------------------------- Xxxa Xxxxxxxx 000 Xxxxxxxxxx Lane Highland Park, IL 60035 Tel: 847-400-0000 Xxx: 800-(302) 000-0000 Xxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxxxx & Xxxxxxxx Xxxxx x/x Xxxxart Flink 170 Crestview DeerfieldXxxil: pwinxxxxxxx@xxxxxxx.xxx xxth a copy to: SCANA Communications Holdings, Inc. 1426 Xxxx Xxxxxx Xxxxxxxx, XX 00005 Txx00000 Xxxn: 000-000-0085 FaxMark X. Xxxxxx, Xxeasurer Phone: 000-000-0070 xxxxxxx@xxxxxxxxx.xxx --------------------------------- Xxxxx X. Xxoxxx 000 Xxxxxxx Xxxx Lake Forest, IL 60045 Tel: 847-615-0000 Xxx: 000-010-0000 xxxxxxx000@xxx.xxx --------------------------------- GLX Xxxxxx Xxxaxxxx, X.X. x/x X. Stephen Gilboy GLL Investors Inc. 425 West Surf Street Chicago, IL 60000 Xxx: 000-525-3038 Fax: 773-520-0000 xxxxxxxxxxx@xxxxxxxxxxxx.xxx --------------------------------- Xxxxex X. Xxxxxxx 00 Xxxxxx Xxxxx, Suite A Northbrook, IL 60062 Tel: 000-(803) 000-0000 Xxx: 000-(803) 000-0000 steven@crestviewcap.com --------------------------------- Xxxil: mcanxxx@xxxxx.xxx xxd to: McNaxx Xxx Firm, P.A. (mail address) PO Bxx 00000 Xxxxxxxx, XX 00000 (xxlivery address) 1301 Xxxxxxx Xxxxxx 00xx Xxxxx XxxixxxXxxxxxxx, XXX xXX 00000 Xxxn: John X. Xxxxxx, Xxq. Phone: (803)000-0000 Xxx: (803)000-0000 Xxxil: jcurxxx@xxxxxx.xxx 40 J. H. Xxxxxxx XX, X.P. 3,333,333 9,999,999 c/x Xxxxxxx Xxvy 95 Revere Driveo of Whitney & Co. 177 Xxxxx Xxxxxx, Suite A Northbrook00xx Xxxxx Xxxxxxxx, IL 60062 TelXX 00000 Xxxn: 847-Willxxx Xxxxxxxx, Xx. xxx Andrxx Xxxxxxxxxx Xxxne: (203) 000-0000 Xxx: 000-(203) 000-0000 Richard@crestviewcap.com --------------------------------- Xxxxxxx P. Xxxxxxx x/x Xxxxxxx Xxair Xxxil: wlavxxxxx@xxxxxxx.xxx xxx aschxxxxxxx@xxxxxxx.xxx xxth a copy to: Morrxxxx Xxxex Xxxger & Co. 222 W. Adams Street ChicaxxWeinxxxxx, XX XXP 750 Xxxxxxxxx Xxxxxx Xxx Xxxx, Xxx Xxxx 00000 XxxXxxn: 213-300-0000 XxxHenrx Xxxxxx, Xxq. and Andrxx X. Xxxxxxxx, Xxq. Phone: 312-368-0000 xxxxxxxx@williamblair.com --------------------------------- Lachman Family Limited Partnership Attn: Mary Lachman 3140 Whisperwoxxx Xxxrt Northbrook, IL 60062 Tel: 847-500-0000 Xxx: 000-000-0000 xxxx@xxxxxxx.xxx --------------------------------- Josexx Xxxx Xx. Dxxxxxxxxxx xx Xxust, UAD May 1, 1986 3340 W. Main Sxxxxx Xxxxxe, Il 60076 Tel: 847-933-1197 Fax: 847-933-0000 --------------------------------- Nanxx Xxxx Xxxxcable Xxxxx 00 X. Howe Street Chicago, IL 60614 --------------------------------- Xxxx Xxxxxxx as custodian for Nathan A. Low Roth IRA c/o Sunrise Securitixx Xxxx. Attn: Nathan Low 00xx Xxxor 640 Xxxxxxton Avenue New York, N.Y. 10022 Tel: 000-021-1616 Fax: (212-000-0000 Xxxxxx@xxxxxxxxxxx.xxx --------------------------------- Xxxxx Xxxxd Xxxxxx Xxxx XXX x/x Xorth Sound Capital LLC Attn: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-) 000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000212) 000-0000 Xxxil: hsinxxx@xxxx.xxx xxx aarsxxxxx@xxxx.xxx Xxackstone CCC Capital Partners L.P. 2,123,459 6,370,377 345 Xxxx Xxxxxx, 00xx Xxxxx Xxx Xxxx, XX 00000 Xxxn: Xxxxxxx Grundei, Esq. --------------------------------- North Sound Legacy Institutional Fund LLC c/o North Sound Capital AttnBret Xxxxxxxx Xxxne: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx: 000-(212) 000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000212) 000-0000 Xxxil: pearxxxx@xxxxxxxxxx.xxx xxth a copy to: Simpxxx Xxxxxxx & Xartxxxx 000 Xxxxxxxxx Xxxxxx Xxx Xxxx, Xxx Xxxx 00000-0000 Xxxn: Xxxxxxx Grundei, Esq. --------------------------------- Xxxxx Sound Xxxxxx Xxxxxxxxional Ltd c/o North Sound Capital AttnThomxx X. XxXxxxxxx Xxxne: Thomas McAuley 53 Forest Avenue, Suite 202 Old Greenwich, CT 06870 Txx(212)000-0000 Xxx: (212) 000-0000 Xxxil: t_laxxxxxxx@xxxxxx.xxx Xxackstone CCC Offshore Capital Partners L.P. 383,208 1,149,624 345 Xxxx Xxxxxx, 00xx Xxxxx Xxx Xxxx, XX 00000 Xxxn: Bret Xxxxxxxx Xxxne: (212) 000-0000 Xxx: 000-000-0000 Xxxxx@xxxxxxxxxx.xxx xxxx x xxpy to: Xxxxxx xxx Dana XXX 000 Xxxxnxxx Xxxxxx Xxxxxxxx, CT 06901 Telephone: (000) 363-0000 Facxxxxxx: (000212) 000-0000 Xxxil: pearxxxx@xxxxxxxxxx.xxx xxth a copy to: Simpxxx Xxxxxxx & Xartxxxx 000 Xxxxxxxxx Xxxxxx Xxx Xxxx, Xxx Xxxx 00000-0000 Xxxn: Xxxxxxx Grundei, Esq. --------------------------------- XXX Xaster Fxxx Xxx x/x Xxxk Hill Investment Management, L.P 3 Bala Plaza East, Suite 585 Bala Cynwyd, PA 19004 TelThomxx X. XxXxxxxxx Xxxne: 610(212)000-949-9700 0000 Xxx: 000-(212) 000-0000 xxxxxxxx@xxxxxxxxxxxxx.xxx --------------------------------- Xxxil: t_laxxxxxxx@xxxxxx.xxx 41 Blackstone Family Investment Partnership III L.P. 160,000 480,000 345 Xxxx Xxxxxx, 00xx Xxxxx Xxx Xxxx, XX 00000 Xxxn: Bret Xxxxxxxx Xxxne: (212) 000-0000 Xxx: (212) 000-0000 Xxxil: pearxxxx@xxxxxxxxxx.xxx xxth a copy to: Simpxxx Xxxxxxx & Xartxxxx 000 Xxxxxxxxx Xxxxxx Xxx Xxxx, Xxx Xxxx 00000-0000 Xxxn: Thomxx X. XxXxxxxxx Xxxne: (212)000-0000 Xxx: (212) 000-0000 Xxxil: t_laxxxxxxx@xxxxxx.xxx XXC Venture Corp 2,765,333 8,295,999 3150 XXX Xxxxx Xxxxxxxxxx, XX 00000 Xxxn: Davix Xxxxxxx Xxxne: (412) 000-0000 Xxx: (412) 000-0000 Xxxil: davix.xxxxxxx@xxxxxxxxx.xxx Xxod Street Partners III 568,000 1,704,000 3150 XXX Xxxxx Xxxxxxxxxx, XX 00000 Xxxn: Davix Xxxxxxx Xxxne: (412) 000-0000 Xxx: (412) 000-0000 Xxxil: davix.xxxxxxx@xxxxxxxxx.xxx Xxllon Ventures II, L.P. 666,667 2,000,001 One Buckhead Plaza 3060 Xxxxxxxxx Xxxxxx, Xxxxx 000 Xxxxxxx, XX 00000 Xxxn: John X. Xxxxx Xxxne: (404) 000-0000 Xxx: (404) 000-0000 Xxxil: jadaxx@xxxx.xxx xxth a copy to: Ben Xxxxxxx Xxxpxxxxxx Xxxxxxxx 0000 Xxxxxxxxx Xxxxxx Xxxxxxx, XX 00000-0000 Xxxne: (404) 000-0000 Xxx: (404) 000-0000 Xxxil: bbarxxxx@xxxxxxxx.xxx 42 Xxxxx Xxxxxxxx Xxxvate Equity Fund IV, L.P. 280,000 840,000 614 X. Xxx Xxxxxx Xxxxx, XX 00000 Xxxn: Donaxx X. Xxxxxx Xxxne: (813) 000-0000 Xxx: (813) 000-0000 Xxxil: dwbuxxxx@xxxxxxxxxxxxx.xxx Xxuth Atlantic Private Equity Fund IV (QP), L.P. 386,667 1,160,001 614 X. Xxx Xxxxxx Xxxxx, XX 00000 Xxxn: Donaxx X. Xxxxxx Xxxne: (813) 000-0000 Xxx: (813) 000-0000 Xxxil: dwbuxxxx@xxxxxxxxxxxxx.xxx Xxe Burtxx Xxxtnership, Limited Partnership 133,333 399,999 614 X. Xxx Xxxxxx Xxxxx, XX 00000 Xxxn: Laurxx Xxx Xxxxxx Xxxne: (813) 000-0000 Xxx: (813) 000-0000 Xxxil: labuxxxx@xxxxxxxxxxxxx.xxx Xxe Burtxx Xxxtnership (QP), Limited Partnership 533,334 1,600,002 614 X. Xxx Xxxxxx Xxxxx, XX 00000 Xxxn: Laurxx Xxx Xxxxxx Xxxne: (813) 000-0000 Xxx: (813) 000-0000 Xxxil: labuxxxx@xxxxxxxxxxxxx.xxx Xxtty Hawk Capital Limited Partnership, IV 1,000,000 3,000,000 2700 Xxxxxxxxx Xxxx, Xxxxx 000 Xxxxxxxxx, XX 00000 Xxxn: Waltxx Xxxxxxxxx Xxxne: (704) 000-0000 Xxx: (704) 000-0000 Xxxil: waltxx@xxxxxxxxxxxxxxxx.xxx Xxrpon Investments, LLC 666,667 2,000,001 820 Xxxxxx Xxxxx Xxxxxxx, Xxxxx 0000 Xxxxxxxxxx, XX 00000 Xxxn: Stevx Xxxxxxx Xxxne: (205) 000-0000 Xxx: (205) 000-0000 Xxxil: sdauxxxx@xxxxxxxxxxxxxxxxxx.xxx Xxantum Capital Partners, Inc. 666,667 2,000,001 339 Xxxxx Xxxxx Xxxxxx Xxxxx, XX 00000 Xxxn: N. John Xxxxxxx, Xx. Phone: (813) 000-0000 Xxx: (813) 000-0000 Xxxil: jsimxxxx@xxxxxxxxxxxxxxxxxxxxxx.xxx Benjxxxx Xxxxxxx 320,000 960,000 2544 Xxxxxx Xxxxx Xxxx Xxxxxxxxx Xxxx, XX 00000 Xxxn: Thomxx X. Xxxxxxxx Xxxne: (256) 000-0000 Xxx: (256) 000-0000 Xxxil: ttl@xxxxxxxxxxxx.xxx Xxomxx X. Xxxxxxxx 13,333 39,999 2544 Xxxxxx Xxxxx Xxxx Xxxxxxxxx Xxxx, XX 00000 Xxxne: (256) 000-0000 Xxx: (256) 000-0000 Xxxil: ttl@xxxxxxxxxxxx.xxx Xxrst Union Capital Partners 2001, L.L.C. 333,333 999,999 301 X. Xxxxxxx Xxxxxx, XX0000 Xxxxxxxxx, XX 00000-0000 Xxxn: Wattx Xxxrxxx Xxxne: (704) 000-0000 Xxx: (704) 000-0000 Xxxil: wattx.xxxxxxx@xxxx.xxx XX Communications Northeast, Inc. 166,667 500,001 (mail address) P.O. Xxx 000 Xxxxxxx, Xxxxxxxxxxxxx 00000 (xxlivery address) 110 Xxx Xxxxx Xxxx WinnetkaXxxxxxx, Il 60093 TelXxxxxxxxxxxxx 00000 Xxxn: 847Lawrxxxx Xxxxxxx Xxxne: (781) 000-920-1360 0000 Xxx: (781) 000-000-0080 xxxxxxxx@xxxxxxx.xxx EXHIBIT A PLAN OF DISTRIBUTION We are registering the shares of common stock on behalf of the selling security holders. Sales of shares may be made by selling security holders, including their respective donees, transferees, pledgees or other successors-in-interest directly to purchasers or to or through underwriters, broker-dealers or through agents. Sales may be made from time to time on the OTC Bulletin Board or any exchange upon which our shares may trade in the future, in the over-the-counter market or otherwise, at market prices prevailing at the time of sale, at prices related to market prices, or at negotiated or fixed prices. The shares may be sold by one or more of, or a combination of, the following0000 Xxxil: - a block trade in which the broker-dealer so engaged will attempt to sell the shares as agent but may position and resell a portion of the block as principal to facilitate the transaction (including crosses in which the same broker acts as agent for both sides of the transaction); - purchases by a broker-dealer as principal and resale by such broker-dealer, including resales for its account, pursuant to this prospectus; - ordinary brokerage transactions and transactions in which the broker solicits purchases; - through options, swaps or derivatives; - in privately negotiated transactions; - in making short sales or in transactions to cover short sales; and - put or call option transactions relating to the shares. The selling security holders may effect these transactions by selling shares directly to purchasers or to or through broker-dealers, which may act as agents or principals. These broker-dealers may receive compensation in the form of discounts, concessions or commissions from the selling security holders and/or the purchasers of shares for whom such broker-dealers may act as agents or to whom they sell as principals, or both (which compensation as to a particular broker-dealer might be in excess of customary commissions). The selling security holders have advised us that they have not entered into any agreements, understandings or arrangements with any underwriters or broker-dealers regarding the sale of their securities. The selling security holders may enter into hedging transactions with broker-dealers or other financial institutions. In connection with those transactions, the broker-dealers or other financial institutions may engage in short sales of the shares or of securities convertible into or exchangeable for the shares in the course of hedging positions they assume with the selling security holders. The selling security holders may also enter into options or other transactions with broker-dealers or other financial institutions which require the delivery of shares offered by this prospectus to those broker-dealers or other financial institutions. The broker-dealer or other financial institution may then resell the shares pursuant to this prospectus (as amended or supplemented, if required by applicable law, to reflect those transactions). The selling security holders and any broker-dealers that act in connection with the sale of shares may be deemed to be "underwriters" within the meaning of Section 2(11) of the Securities Act of 1933, and any commissions received by broker-dealers or any profit on the resale of the shares sold by them while acting as principals may be deemed to be underwriting discounts or commissions under the Securities Act. The selling security holders may agree to indemnify any agent, dealer or broker-dealer that participates in transactions involving sales of the shares against liabilities, including liabilities arising under the Securities Act. We have agreed to indemnify each of the selling security holders and each selling security holder has agreed, severally and not jointly, to indemnify us against some liabilities in connection with the offering of the shares, including liabilities arising under the Securities Act. The selling security holders will be subject to the prospectus delivery requirements of the Securities Act. We have informed the selling security holders that the anti-manipulative provisions of Regulation M promulgated under the Securities Exchange Act of 1934 may apply to their sales in the market. Selling security holders also may resell all or a portion of the shares in open market transactions in reliance upon Rule 144 under the Securities Act, provided they meet the criteria and conform to the requirements of Rule 144. Upon being notified by a selling security holder that a material arrangement has been entered into with a broker-dealer for the sale of shares through a block trade, special offering, exchange distribution or secondary distribution or a purchase by a broker or dealer, we will file a supplement to this prospectus, if required pursuant to Rule 424(b) under the Securities Act, disclosing: - the name of each such selling security holder and of the participating broker-dealer(s); - the number of shares involved; - the initial price at which the shares were sold; - the commissions paid or discounts or concessions allowed to the broker-dealer(s), where applicable; - that such broker-dealer(s) did not conduct any investigation to verify the information set out or incorporated by reference in this prospectus; and - other facts material to the transactions. In addition, if required under applicable law or the rules or regulations of the Commission, we will file a supplement to this prospectus when a selling security holder notifies us that a donee or pledgee intends to sell more than 500 shares of common stock. We are paying all expenses and fees in connection with the registration of the shares. The selling security holders will bear all brokerage or underwriting discounts or commissions paid to broker-dealers in connection with the sale of the shares. EXHIBIT B FORM OF NOTICE OF EFFECTIVENESS OF REGISTRATION STATEMENT [Name and Address of Transfer Agent] Re: National Coal Corp. Dear [______]: We are counsel to National Coal Corp., a Florida corporation (the "Company"), and have represented the Company in connection with that certain Preferred Stock and Warrant Purchase Agreement (the "Purchase Agreement") dated as of August 31, 2004 by and among the Company and the buyers named therein (collectively, the "Holders") pursuant to which the Company issued to the Holders its Series A Cumulative Convertible Preferred Stock, par value lhc@xxxxxxxxxxxx.xxx Xxtal 31,1666,667 $0.0001 per share, (the "Preferred Stock") convertible into shares of the Company's common stock, par value $0.0001 per share (the "Common Stock") and warrants to purchase shares of the Common Stock (the "Warrants"). Pursuant to the Purchase Agreement, the Company has also entered into an Investor Rights Agreement with the Holders (the "Investor Rights Agreement") pursuant to which the Company agreed, among other things, to register the shares of Common Stock issuable upon conversion of the Preferred Stock and exercise of the Warrants and certain other shares of Common Stock, under the Securities Act of 1933, as amended (the "1933 Act"). In connection with the Company's obligations under the Investor Rights Agreement, on ____________ ___, 2004, the Company filed a Registration Statement on Form SB-2 (File No. 333______________) (the "Registration Statement") with the Securities and Exchange Commission (the "SEC") relating to the Registrable Securities which names each of the Holders as a selling securityholder thereunder. In connection with the foregoing, we advise you that a member of the SEC's staff has advised us by telephone that the SEC has entered an order declaring the Registration Statement effective under the 1933 Act at [ENTER TIME OF EFFECTIVENESS] on [ENTER DATE OF EFFECTIVENESS] and we have no knowledge, after telephonic inquiry of a member of the SEC's staff, that any stop order suspending its effectiveness has been issued or that any proceedings for that purpose are pending before, or threatened by, the SEC and the Registrable Securities are available for resale under the 1933 Act pursuant to the Registration Statement. Very truly yours, By:__________________________________ cc: [LIST NAMES OF HOLDERS]93,500,001
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Samples: Series C Preferred Stock Purchase Agreement (Knology Inc)
